NPDES COMPLIANCE MONITORING INSPECTOR
TRAINING MODULE
OVERVIEW
U.S. ENVIRONMENTAL PROTECTION AGENCY
ENFORCEMENT DIVISION
OFFICE OF WATER ENFORCEMENT AND PERMITS
ENFORCEMENT SUPPORT BRANCH
AUGUST 1990
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D/834-03-283-01/DISCLAIM
NPDES Compliance Monitoring Inspector Training: OVERVIEW
DISCLAIMER
This module has been reviewed by the Office of Water Enforcement and Permits, U.S. Environmental
Protection Agency, and approved for publication. This module represents EPA's introductory training on selected
topics related to conducting NPDES compliance inspections. Failure on the part of any duly authorized official,
inspector, or agent to comply with its contents shall not be a defense in any enforcement action, nor shall failure
to comply with this guidance alone constitute grounds for rendering evidence obtained thereby inadmissible in a
court of law. The mention of trade names or commercial products constitutes neither endorsement nor
recommendation for use.
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C/834-03-283-01/ACKNOWLE
NPDES Compliance Monitoring Inspector Training: OVERVIEW
ACKNOWLEDGMENTS
This document represents an update of a module originally developed in June 1980 by the Enforcement
Division of the Office of Water Enforcement and Permits (OWEP). The module was revised under the direction
of Virginia Lathrop and Gary Polvi of OWEP with extensive input from the NPDES Inspection Materials Work
Group. In addition, the EPA Regions provided many valuable comments, most of which have been incorporated
into this module. Science Applications International Corporation (SAIC) updated this module under EPA Contract
Nos. 68-01-7050 and 68-C8-0066, Work Assignment Nos. E2-8 and C-1-2(E).
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C/834-03-283-01/TABLE OF
NPDES Compliance Monitoring Inspector Training: OVERVIEW
TABLE OF CONTENTS
Page
FOREWORD vii
1. INTRODUCTION 14
1.1 OVERVIEW OF THE NPDES PROGRAM 1-1
1.2 PURPOSE OF THE NPDES COMPLIANCE MONITORING
PROGRAM !_2
2. NPDES COMPLIANCE ACTIVITIES 2-1
2.1 COMPLIANCE REVIEWS 2-1
2.2 NPDES COMPLIANCE INSPECTIONS 2-1
3. SPECIAL CONSIDERATIONS 3-1
3.1 INSPECTOR CONDUCT 3_1
3.2 DISCLOSURE OF INFORMATION '. 3.1
3.3 FEDERAL AND STATE COOPERATION 3.3
4. GENERAL INSPECTION PROCEDURES 4-1
4.1 NPDES INSPECTOR RESPONSIBILITIES 4-1
4.2 PREINSPECTION PROCEDURES 4-1
4.3 INSPECTION PROCEDURES 4-5
5. SPECIFIC INSPECTION PROCEDURES 5-1
5.1 COMPLIANCE EVALUATION INSPECTION 5-1
5.2 CONVENTIONAL AND TOXIC COMPLIANCE SAMPLING
INSPECTIONS 5.9
5.3 PERFORMANCE AUDIT INSPECTION 5-11
5.4 COMPLIANCE BIOMONITORING INSPECTION 5-14
6. PRETREATMENT COMPLIANCE INSPECTION 6-1
6.1 REVIEW OF THE GENERAL PRETREATMENT REGULATIONS 6-1
6.2 PRETREATMENT COMPLIANCE INSPECTIONS 6-2
6.3 PRETREATMENT PROGRAM AUDITS 6-9
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NPDES Compliance Monitoring Inspector Training: OVERVIEW
TABLE OF CONTENTS (Continued)
7. POST-INSPECTION PROCEDURES
7.1 PRESENTATION OF FINDINGS
7.2 DATA ANALYSIS
7.3 COMPLETION AND DISTRIBUTION OF REPORTS AND FORMS
7.4 TESTIMONY
7.5 UPDATING PERMITTEE FILES
8. SUMMARY
Page
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7-1.
7-1
7-1
7-3
7-3
8-1
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OF
NPDES Compliance Monitoring Inspector Training: OVERVIEW
LIST OF TABLES AND FIGURES
Table
6-1 SUMMARY OF THE GENERAL PRETREATMENT REGULATIONS
7-1 CODING SYMBOLS FOR INSPECTIONS
6-3
7-2
Figure
2-1 NPDES COMPLIANCE INSPECTIONS
2-2
APPENDIX A -
APPENDIX B -
APPENDIX C -
LIST OF APPENDICES
GLOSSARY AND LIST OF ACRONYMS
REFERENCES
REVIEW QUESTIONS AND ANSWERS ON THE OVERVIEW OF THE NPDES
COMPLIANCE INSPECTION PROGRAM
APPENDIX D - SECTION 308 OF THE CLEAN WATER ACT
APPENDIX E
APPENDIX F -
APPENDIX G -
APPENDIX H -
CRITERIA FOR NEUTRAL SELECTION OF NPDES COMPLIANCE
INSPECTION CANDIDATES
LIST OF FIELD SAMPLING AND PERSONAL SAFETY EQUIPMENT
NPDES COMPLIANCE INSPECTION REPORT FORM (EPA FORM 3560-3)
DEFICIENCY NOTICE GUIDANCE AND FORM
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D/834-03-283-01/FOREWARD
NPDES Compliance Monitoring Inspector Training: OVERVIEW
FOREWORD
This document is one of five training modules developed by the Office of Water Enforcement and
Permits (OWEP), U.S. Environmental Protection Agency (EPA) to introduce the National Pollutant Discharge
Elimination System (NPDES) program to new inspectors. Information in each module provides training to an
inspector unfamiliar with the NPDES program. The modules address the following topics:
The Overview Module presents an overview of the entire NPDES program and briefly summarizes
different types of inspections conducted under this program
The Legal Issues Module and provides legal information to assist inspectors in performing their
duties and discusses the legal issues which must be addressed during an inspection
The Biomonitoring Module outlines the principles of biomonitoring and the role of biological testing
in the inspection program
The Sampling Procedures Module details procedures to be used when conducting a sampling
inspection
The Laboratory Analysis Module outlines procedures and information necessary to perform an
effective evaluation of a permittee's laboratory.
The modules are best used in a classroom setting where there is a discussion between students and instructors
and where questions can be asked. Yet, they can also stand alone as reference sources. A general discussion
of the topics covered in these modules appears in EPA's NPDES Compliance Inspection Manual.
These training modules were developed primarily for in-house training of Regional and State NPDES
Inspectors. However, they are available as well to other interested parties such as other program offices,
facility owners and operators, attorneys, and members of the general public.
Regional and State personnel are encouraged to provide EPA Headquarters with changes or information
which would improve these modules. The content of the modules will be updated and revised periodically.
Comments, information, and suggestions to improve the modules should be addressed to:
Enforcement Support Branch (EN-338)
Office of Water Enforcement and Permits
U.S. Environmental Protection Agency
401 M reel, S.W.
Washington, DC 20460
VII
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NPDES Compliance Monitoring Inspector Training: OVERVIEW
1. INTRODUCTION
1.1 OVERVIEW OF THE NPDES PROGRAM
The Federal Water Pollution Control Act of 1972, as amended by the Clean Water Act (CWA) of 1977
and by the Water Quality Act of 1987, specifies the objectives of restoring and maintaining the chemical,
physical, and biological integrity of the Nation's waters. The Act provides broad authority to the U.S.
Environmental Protection Agency (EPA) to:
Establish the National Pollutant Discharge Elimination System (NPDES) program and the National
Pretreatment Program
Define pollution control technologies and establish effluent limitations based thereon
Collect information through reports and compliance inspections
Take enforcement actions, both civil and criminal, when violations of the Act occur.
The NPDES program, mandated by Section 402 of the Act, regulates the discharge of pollutants from
point sourcessuch as municipal wastewater treatment plants, industries, animal feedlots, aquatic animal
production facilities, and mining operations. Each point source is required to obtain a NPDES permit in order
to discharge. The NPDES permit should contain effluent limits, a compliance schedule, monitoring and
reporting requirements, and any other terms and conditions necessary to protect water quality.
To determine whether these NPDES permit conditions are being met, Section 308 of the Act authorizes
inspections and monitoring of permittee facilities. Section 308 requires two types of monitoring:
self-monitoring.to be conducted by the permittee and compliance monitoring to be performed by the
permit-issuing agency. According to the Act, an inspection may be conducted wherever there is an existing
NPDES permit or where a discharge exists or is likely to exist and no permit has been issued.
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NPDES Compliance Monitoring Inspector Training: OVERVIEW
Compliance with NPDES permit conditions is often monitored by States. Sections 308 and 402 of the
Act allow the transfer of Federal program authority to conduct NPDES permit compliance monitoring to State
agencies. Currently, over 75 percent of the States and territories are approved by EPA to implement State
NPDES programs.
1.2 PURPOSE OF THE NPDES COMPLIANCE MONITORING PROGRAM
The purposes of the NPDES compliance monitoring program (and the various inspections conducted
under the program) are:
To evaluate the compliance of dischargers with permit limitations and conditions
To gather evidence to support enforcement actions
To furnish information which supports permitting
To assess compliance with orders or consent decrees.
The compliance evaluation involves two aspects: (1) collection of samples of a permittee's effluent by a
NPDES inspector [as occurs during a Compliance Sampling Inspection (CS1), a Toxics Sampling Inspection
(XSI), or a Compliance Biomonitoring Inspection (CBI)]; and (2) evaluation of a permittee's self-monitoring
procedures [as takes place in a Performance Audit Inspection (PAI) or a Compliance Evaluation Inspection
(CEI)]. Under certain circumstances, the inspection may also evaluate the industrial monitoring and
enforcement efforts conducted as part of a municipality's pretreatment program. This type of inspection is
known as a Pretreatment Compliance Inspection (PCI).
This module briefly examines the scope and nature of some compliance inspections conducted under the
NPDES program. It discusses both the general steps and special considerations that an inspector must take into
account while conducting compliance inspections. Additional information on conducting inspections can be
found in the NPDES Compliance Inspection Manual. A glossary of the terms used in this module appears in
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NPDES Compliance Monitoring Inspector Training: OVERVIEW
Appendix A, while Appendix B lists references which inspectors may wish to consult for more information on
the topics discussed. Appendix C contains questions that should be completed by each inspector after
reviewing this module in order to test his/her understanding of NPDES compliance inspections. Answers to
these questions also are in Appendix C. Appendices D through H provides additional reference material for
NPDES inspectors.
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NPDES Compliance Monitoring Inspector Training: OVERVIEW
2. NPDES COMPLIANCE ACTIVITIES
Under the NPDES program, there are two primary types of activities by which EPA or State personnel
may evaluate the compliance status of a permittee with the requirements and conditions of its NPDES permit:
(1) compliance reviews; and (2) compliance inspections. These two activities are the subject of this chapter.
2.1 COMPLIANCE REVIEWS
Compliance reviews involve the review of records and reports submitted by permittees. These reviews
are intended to screen permittees for compliance problems and to establish, where necessary, (based on the
findings of each review) the need for follow-up in the form of compliance inspections or, if warrented,
enforcement actions. According to EPA policy, compliance reviews should be performed to assess accurately
the need for conducting compliance inspections.
2.2 NPDES COMPLIANCE INSPECTIONS
Compliance inspections, conducted at a permittee's facility, are authorized by Section 308(a)(4)(B) of the
CWA (provided as Appendix D of this module). (The authority to conduct inspections of permittee facilities is
discussed in more detail in the companion training module on Legal Issues.) There are currently nine different
inspections that a NPDES inspector may conduct at a permittee's facility. Figure 2-1 highlights these nine
inspections which are described briefly below. The inspector may also wish to refer to EPA's NPDES
Compliance Inspection Manual, to the four other NPDES training modules, and to the sources listed in
Appendix B for information on inspection authorities, techniques, and procedures.
The nine types of NPDES compliance inspections are:
The Reconnaissance Inspection (RI) provides a preliminary overview of a permittee's compliance
program and involves only a brief visual inspection of the permittee's treatment facility, effluent
quality, and receiving water. The RI is the briefest of the various NPDES inspections and may
focus on only one or two issues.
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NPDES Compliance Monitoring Inspector Training: OVERVIEW
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D/834-03-283-01/CHAPTER.2
NPDES Compliance Monitoring Inspector Training: OVERVIEW
The Compliance Evaluation Inspection (CEI) is a nonsampling inspection intended to verify a
permittee's compliance with applicable NPDES permit self-monitoring requirements, effluent limits,
and compliance schedule conditions. It is the basis for all other, more NPDES-intense inspections.
The CEI consists of a visual inspection of the permittee's treatment facility, effluent quality, and
receiving water; and self-monitoring records and reports.
The Compliance Sampling Inspection (CSI) encompasses all the functions and tasks of the CEI but,
in addition, involves sampling the effluent to assess compliance with the facility's permit
requirements, to verify the accuracy of the permittee's self-monitoring program, including records
and reports and to provide evidence for enforcement proceedings, where appropriate.
The Toxics Sampling Inspection (XSI) is similar to a conventional CSI in that it evaluates a
permittee's effluent and corresponding permit limits for heavy metals, phenols, and cyanide.
However, an XSI is a more resource-intensive inspection because it includes sampling and analysis
for toxic (priority) pollutants in addition to those evaluated during a CSI. An XSI may also evaluate
raw materials, process operations, and treatment facilities to identify toxic substances requiring
controls.
The Performance Audit Inspection (PAI) also includes the tasks and functions of the CEI.
However, the PAI provides a more resource-intensive review of the permittee's self-monitoring
program and evaluates the permittee's procedures for sample collection, flow measurement,
chain-of-custody, laboratory analysis, data compilation, reporting, and more. The PAI does not
include the collection of samples by the NPDES inspector. However, the permittee may be required
by the inspector to analyze performance samples for laboratory evaluation purposes.
The Compliance Biomonitoring Inspection (CBI) encompasses the tasks and functions of the CEI as
well as an assessment of the toxicity of the permittee's effluent. A CBI reviews a permittee's
toxicity bioassay techniques and records maintenance to evaluate compliance with the biomonitoring
terms of the NPDES permit and to determine if the permittee's effluent is toxic. The CBI includes
the collection of effluent samples by the NPDES inspector to test for acute or chronic toxicity.
The Pretreatment Compliance Inspection (PCI) evaluates a Publicly Owned Treatment Work's
(POTW's) implementation of its approved pretreatment program. The PCI reviews the POTW's
records of monitoring, inspection, and enforcement of program requirements on its industrial users
industrial users. The PCI may be supplemented with inspections of industrial users and may be
conducted in conjunction with another NPDES inspection of the POTW.
The Diagnostic Inspection (DI) is performed at a municipal treatment facility which failed to achieve
compliance with NPDES permit limits or which experienced design or operational problems. The
DI is conducted at a facility that lacks the ability to diagnose such causes of noncompliance as
operation and maintenance, pretreatment design, or infiltration and inflow problems. A DI is
usually followed by issuance of an Administrative Order to conduct a detailed analysis and to correct
the identified problem(s).
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The Legal Support Inspection (LSI) is a resource-intensive inspection conducted when an
enforcement problem has been identified as a result of a routine inspection or complaint. For a
LSI, the appropriate resources are assembled to deal effectively with the specific enforcement
problem.
According to 40 Code of Federal Regulations (CFR) 123.26(e)(5), State NPDES programs must have
procedures for and the ability to inspect the facilities of all "major" discharges at least annually. The type of
inspection performed at these facilities and the number and identity of additional "minor" permittees that are
also inspected during that time period is left to the discretion of the appropriate EPA Regional Office or State
Agency. The process used to select facilities to be inspected on a routine basis has been outlined by EPA in
the policy entitled "Criteria for Neutral Selection of NPDES Compliance Inspection Candidates." A copy of
this policy is provided as Appendix E.
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3. SPECIAL CONSIDERATIONS
3.1 INSPECTOR CONDUCT
An inspector represents EPA to the permittee. S/he is the backbone of EPA's compliance monitoring
program. In this respect, an inspector is expected to report the facts of all investigations completely,
accurately, and objectively, and to avoid, at all times, any action or failure to act that might be construed as
being motivated by personal or private gain. An inspector is expected to dress and act properly at all times
and to be able to recognize and avoid any conflicts of interest during any portion of the inspection. An
inspector also may not solicit or accept any gift, gratuity, or favor. If offered a bribe, the inspector should
follow the four-step response procedure outlined below:
Ask what the offer is for
Explain, if the offer is repeated, that both parties to such transactions may be guilty of violating
Federal statutes
Do not accept money or goods
Report the incident in detail to his/her supervisor.
3.2 DISCLOSURE OF INFORMATION
On occasion, the NPDES inspector may be asked by the permittee being visited to provide information
about that inspection. As a rule, an inspector may give general, nonspecific information about EPA programs
and activities and may describe the type of inspection scheduled to be performed. However, when the
permittee requests specific information pn an inspection, the NPDES inspector must be cautious. It is
acceptable to discuss with the permittee deficiencies encountered during an evaluation of the permittee's
self-monitoring procedures (and the actions required to correct these deficiencies). The inspector may talk
about specific facts of concern that resulted from his/her inspection of the facility. However, it is not
acceptable to discuss with the permittee information collected during an inspection which may indicate that a
violation has occurred. This is because the inspector usually does not have results from effluent sampling.
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Also, inspection findings are subject to enforcement review before compliance status is determined. The
inspector does not make decisions relative to enforcement actions and must never speculate on what
enforcement actions may be taken by the permitting agency in response to violations. Debriefing of facility
officials is discussed further in Section 4.2.6.
3.2.1 Confidentiality
Section 308(a)(4)(B) of the CWA establishes the right of access that an EPA inspector or an authorized
representative has to a premises to review and copy records, inspect monitoring equipment or monitoring
methods, and sample any point source effluent.
Information collected during an inspection is available to the public unless the permittee takes measures
to have the information held as confidential. For the information to be held as confidential, the permittee must
request [according to Section 308(b)(2)] that the EPA Administrator consider the records, reports, or
information confidential because disclosure to the public would divulge trade secrets. If classified as
confidential by the Administrator, the information must be maintained as such in accordance with the purposes
of Section 1905 of Title 18 of the United States Code (U.S.C.) but may be disclosed to authorized
representatives of EPA or of the United States concerned with carrying out the Act. According to this section,
any authorized representative who knowingly or willfully discloses, divulges, publishes, or makes known any
information required to be considered confidential shall be subject to a fine of not more than $1,000 or to
imprisonment for not more than 1 year, or both.
A business is entitled to make a claim of confidentiality for all information which an inspector requests
or is provided access. However, a business may not refuse (on the grounds that the information is considered
confidential or a trade secret) to release information requested by the inspector under the authority of Section
308 of the Act. The claim of confidentiality relates only to the public availability of such data and is not to be
used for denying access of a facility to EPA or State inspectors performing duties under Section 308 of the
Act. The type of information which may be considered confidential business information is defined in 40 CFR
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Part 2. According to 40 CFR 2.302(f), however, "effluent data" as defined in 40 CFR 2.302(a)(2) are not
entitled to confidential treatment and will, therefore, be available to the public without restriction. Effluent
data is defined as any information necessary to determine the identity, amount, frequency, concentration,
temperature, and other characteristics of:
Any pollutant which has been discharged by the source (or any pollutant resulting from any discharge
from the source)
Any pollutant which the source was authorized to discharge.
Effluent data may also include a general description of the location and/or nature of the source to the
extent necessary to distinguish it from other sources (e.g., a description of the device, installation, or operation
constituting the source).
It is the inspector's responsibility to handle all material claimed as confidential according to established
procedures. For more information on confidentiality and the handling of confidential information as well as on
the right of entry to a facility for purposes of monitoring or inspecting, the inspector should refer to the Legal
Issues Module.
3.3 FEDERAL AND STATE COOPERATION
A NPDES inspector should be aware of EPA's policy to seek, encourage, and support cooperation
between Federal and State agencies. Compliance inspection activities generally should be coordinated on a
continuing basis with State officials. This coordination may include providing State officials with information
on the EPA inspector's planned or intended activities or performing joint inspections with State officials.
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NPDES Compliance Monitoring Inspector Training: OVERVIEW
4. GENERAL INSPECTION PROCEDURES
4.1 NPDES INSPECTOR RESPONSIBILITIES
The NPDES inspector should conduct all inspections thoroughly and professionally. S/he is expected to
uphold certain responsibilities during the inspection process. Each inspector should:
Be knowledgeable of Section 308 of the Clean Water Act and the regulations contained in 40 CFR
Parts 122 and 403
Maintain a working knowledge of the conditions and requirements contained in a facility's NPDES
permit, including Administrative Orders and compliance schedules
Be knowledgeable about applicable EPA and State policies and procedures
Understand the purpose of each inspection and be familiar with appropriate information needs,
quality assurance/quality control, chain-of-custody procedures, and safety considerations
Coordinate and conduct inspections, including pre-inspection planning
Complete postinspection reports and follow-up, as necessary, with the permittee, laboratory, or
other involved parties
Keep records of all inspection activities.
To successfully complete a compliance inspection, the inspector should fulfill all the responsibilities listed
above. S/he should also remember that all information gathered during an inspection may be used for an
enforcement action and must be collected properly and treated accordingly. If there are any further questions
about handling inspection information, the inspector should ask his/her supervisor.
4.2 PREINSPECTION PROCEDURES
To ensure that every inspection is properly focused and is conducted smoothly and efficiently, the
inspector should plan ahead. Planning for an inspection involves:
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Developing or obtaining a previously developed compliance file for the permittee
Ensuring the availability of equipment to be used during the inspection
Addressing safety requirements and obligations
Making all necessary arrangements (for example, to enter the site or to coordinate with State or
Regional personnel) prior to conducting the inspection
Ensuring that all inspection findings are adequately documented.
Each of these items is discussed briefly in the following sections.
4.2.1 Development of a Compliance File
The development of a compliance file for each permittee is extremely important. At a minimum, a ;
permittee's compliance file should contain:
A copy of applicable Federal and State permits, and if necessary, applicable State water quality
regulations
A map showing the facility's location, effluent discharge points, overflow and bypass discharge
points, and all sampling points that are identified in the permit
The names, titles, locations, and phone numbers of responsible persons
A flow chart or summary of present or planned treatment and/or abatement facilities
Previous inspection reports
The most recent discharge monitoring reports showing violations, compliance schedules, if
appropriate, and any enforcement documents
Listings from the Permit Compliance System (PCS)
The letter used to notify the permittee of the intended inspection and the need for safety information
pursuant to Section 308 of the Act (commonly called a "308 Letter"), where applicable (e.g., 308
Letters are often used to notify permittees of impending PAIs)
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Other correspondence, (such as a response to the 308 Letter, if one was issued)
Reports describing nonroutine analyses
A description of its production processes, if the facility to be inspected is an industry.
Information in the compliance file is a valuable aid to a NPDES inspector because it promotes an
efficient and complete inspection of a permittee's facility.
4.2.2 Availability of Equipment
Prior to an inspection, the inspector should make sure that the necessary inspection equipment is
available and in proper working order. A complete list of useful inspection equipment appears in
Appendix F. The type of equipment needed for an inspection will vary, according to the facility being
inspected and the type of inspection being conducted. All equipment must be inspected, calibrated, and
tested before being used. The inspector must also ensure that all materials necessary to complete an
inspection are taken to the inspection site. It is the inspector's responsibility to maintain all equipment
properly in accordance with operating instructions.
4.2.3 Safety Obligations
Prior to an inspection, a NPDES inspector must be familiar with all safety obligations including Regional
or State policy and requirements. The safety equipment and procedures required for a facility will be based on
either standard safety procedures or the response to the 308 (inspection notification) letter. Safety equipment
should be part of the inspector's outfit. Safety requirements must be met, not only for safety reasons, but to
ensure that the .inspector is not denied entry to the facility (or to parts of it). Personal safety equipment is also
listed in Appendix F. This list should be reviewed and expanded (if necessary) by the inspector based on
his/her knowledge of the inspection's safety requirements.
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4.2.4 Prior Arrangements
Prior to the inspection, the permittee sometimes is notified by a "308 Letter" that the facility is scheduled
for an inspection. The 308 Letter advises the permittee that an inspection is imminent and usually requests
information regarding onsite safety requirements to avoid problems concerning safety equipment at the time of
the inspection. The inspector may wish to facilitate the inspection process by suggesting that the permittee send
general information, such as names, addresses, and updated process information, to him/her prior to the site
visit. The 308 Letter is also used to inform the permittee of its right to assert a claim of confidentiality.
In addition, the 308 Letter may specify the exact date of the inspection, if coordination with the permittee
is required. However, prenotification of the permittee is not required and inspections are usually performed
without any prenotification of the extact date. Depending on the type of inspection, the permittee may be
telephoned to inform it that an inspection is forthcoming. The EPA inspector should always contact State
personnel before the inspection to encourage cooperation between Federal and State agencies.
4.2.5 Documentation
Each inspector is responsible for maintaining a legible field notebook which accurately and objectively
documents inspection activities. The inspector's entries are of particular importance because EPA's subsequent
enforcement action or criminal prosecution often hinges upon the evidence the inspector gathers. All entries in
a field notebook should be original. Errors should be crossed out and initialed. Inspectors should not erase
entries or tear pages out.
All observations recorded in the field notebook should be factual without expressing opinions, such as
time of arrival, name of plant personnel contacted, notation of pictures taken, person authorizing entrance to
the facility, and any field data collected during the inspection. Information should be recorded immediately. A
well-kept field notebook not only provides an accurate record of each inspection, but also aids the inspector in
preparing later inspection reports. Additional information collected by the inspector and completed inspection
checklists can be stapled into the field notebook. All aspects of an inspection must be conducted and recorded
in detail so they can be accurately reconstructed at a later time.
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In addition to the field notebook, the inspector is responsible for preparing a narrative report of his/her
findings and completing two forms: the NPDES Compliance Inspection Report Form (EPA Form 3560-3),
which must be completed for each type of inspection conducted and the Deficiency Notice, which identifies
deficiencies uncovered during the inspection. Use of these forms is discussed in more detail in Chapters 6 and
7 and examples of the forms are provided as Appendices G and H.
4.2.6 Debriefing
Upon concluding the inspection, the inspector should always debrief facility officials. During this
debriefing, s/he should review identified deficiencies in the permittee's self-monitoring program and advise the
permittee on correct procedures. The debriefing can focus on relevant, objective findings of the inspection and
specific areas of concern may be discussed. A Deficiency Notice may be issued by the inspector as part of the
debriefing if a deficiency is identified during the inspection. The Deficiency Notice is used by the inspector
only to alert the permittee to deficiencies in its self-monitoring activities. At this debriefing, the inspector
should never speculate on possible enforcement actions to be taken by the permit-issuing agency. Any apparent
permit violation should be reported on the NPDES Compliance Inspection Report and should not be discussed
with the permittee during the debriefing.
4.3 INSPECTION PROCEDURES
Regardless of the type of inspection being conducted, the procedures outlined below should be followed
by all inspectors.
Before entering the facility, observe it as thoroughly as possible from public grounds.
Enter the facility through the mam gate.
Show EPA or State credentials prior to the inspection.
Act courteously.
Do not sign a waiver of injury or visitor's release. (If an inspector is required to sign in for
records purposes, an attendence log may be signed, as long as it does not contain conditions.)
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IP not sign any type of confidentiality agreement.
Obtain consent to conduct the inspection from the proper plant authority.
Conduct opening and closing conferences with plant officials.
Complete the inspection in a timely manner.
Do not offer direct plant operating advice.
Follow all inspector responsibilities, including chain-of-custody procedures, correct handling of
confidential information, and discussion of inspection findings.
Document observations, permittee statements, and inspection findings.
Do not express opinions about findings.
For information on entering permittee facilities when access has been denied and a search warrant must
be sought, inspectors should consult the module on Legal Issues.
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5. SPECIFIC INSPECTION PROCEDURES
Chapter 4 introduced general inspection procedures and duties of all NPDES inspectors. This chapter
discusses the specific inspection procedures established for five of the nine types of compliance inspections
available. The five inspections discussed in this chapter are: (1) the Compliance Evaluation Inspection; (2) the
Compliance Sampling Inspection; (3) the Toxics Sampling Inspection, discussed in conjunction with the
Compliance Sampling Inspection; (4) the Performance Audit Inspection; and (5) the Compliance Biomonitoring
Inspection. The Pretreatment Compliance Inspection is discussed in Chapter 6 of this module. Additional
guidance on performing inspections has been published in EPA's NPDES Compliance Inspection Manual, a
valuable reference that should be read by every NPDES inspector. Two companion modules to this document,
the Sampling Procedures Module and the Biomonitoring Module, also will furnish the inspector with relevant
information and should be reviewed by, him/her. Should these manuals not provide the inspector with all
necessary information, his/her supervisor should be consulted.
5.1 COMPLIANCE EVALUATION INSPECTION
The CEI is one of the least resource-intensive types of NPDES inspections. Typically, 1 to 3 workdays
are allotted for conducting a CEI, which includes travel, the inspection, and report preparation, but does not
include wastewater sampling. It is comprised of the following four components; which are explained in more
detail below:
Records and reports review
Compliance schedule status review
Facility site review
Self-monitoring review.
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5.1.1 GET Records and Reports Review
The NPDES program requires permittees to maintain records and to report periodically on the amount
and the nature of waste components in their effluents. Section 308 of the Act authorizes inspections of such
required records and reports. There are six objectives of a records and reports review. (1) the review
documents the permittee's compliance status with permit limitations and requirements; (2) it is used to evaluate
effluent quality trends as well as to follow-up on specific permit violations; (3) it helps to define the scope of
the suspected violation; (4) it determines the adequacy of the permittee's records maintenance system; (5) it
determines the adequacy of the permittee's reports; and (6) it briefly reviews the quality assurance of the
permittee's self-monitoring activities.
During a routine records and reports review, the inspector will generally examine the permittee's files to
determine if the permittee:
Keeps and properly files the required records
Maintains records in an up-to-date manner
Retains all records for the minimum time period required by the NPDES permit or by State
regulations
Needs assistance on complying with the Agency's requirements on records and reports.
When conducting a records and reports review, inspectors should follow the procedures outlined below:
Discuss record keeping and reporting requirements with relevant facility personnel
Verify the maintenance of sampling and analytical data
Verify that the facility has a copy of the NPDES permit and that responsible personnel are cognizant
of the permit's contents
Verify the maintenance of daily operating logs
Verify the maintenance of management-generated records
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Verify the maintenance of pretreatment records
Verify the maintenance of laboratory records
» Verify that all records and reports are retained for at least 3 years
Verify that all data reported in Discharge Monitoring Reports (DMRs) have been correctly
calculated.
The results of a CEI may lead to a more in-depth inspection of the permittee's records and reports at a
later date. Such an in-depth inspection is conducted, when necessary, to substantiate a suspected violation; to
verify self-monitoring data which may be used as corroborative evidence in an enforcement action; or to
confirm apparent sampling, analysis, or reporting discrepancies discovered during the CEI's limited
investigation.
5.1.2 CEI Compliance Schedule Status Review
If the permit does not contain a compliance schedule, this section of the CEI is not applicable. However,
the inspector should be aware that a compliance schedule may appear in an Administrative Order or consent
decree issued to a permittee. Thus, the inspector should review all relevant information from the permittee to
determine whether it is on a compliance schedule.
Compliance schedules are established for permittees with treatment or abatement facilities that need to be
modified to meet NPDES permit effluent limitations. These schedules contain milestones that the permittee
must meet and report on to ensure that abatement is attained on schedule. Reports of progress and the
permittee's current status are used by the regulatory authority to determine the facility's compliance with set
milestones. This phase of the CEI is not appropriate during inspections that are conducted after the permittee
has achieved final effluent limitations.
There are four objectives of a compliance schedule status review. First, the review determines the
accuracy of progress reports submitted on the permittee's compliance schedule requirements. Second, it
determines the permittee's conformance to the compliance schedule and, if the permittee has not been able to
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conform, identifies causes of the delays and determines whether the final treatment requirements will be
achieved on time. Third, it documents cases of schedule violations and delays. Fourth, it serves as a means to
determine the validity of requests for permit modifications. '
Before performing a CEI, the NPDES inspector must he familiar both with the permittee's compliance
schedule requirements and with progress reports submitted. Compliance schedules should be reviewed before
the inspection and status reviews coordinated with Regional or State construction grants personnel, if
appropriate. Also, inspectors should review the permittee's plans, specifications, construction and equipment
contracts, and work orders to determine whether-construct!on is occurring as scheduled. Further, inspectors
are responsible for conducting a visual inspection of the permittee's construction efforts and equipment.
When conducting a compliance schedule status review, inspectors must:
Visually check the progress of all construction activities
Verify that the status of construction matches what has been reported to the regulatory authority in
progress reports
If delays are apparent, determine the cause:
- Verify that the permittee has notified the permit-issuing authority promptly of delays and of the
measures it has taken to minimize the delay ,
- Review the permittee's contract and equipment orders
- Verify that the permittee has the authority to construct the necessary installation and has financing
available to fund construction costs
Determine causes for existing or projected delays
Determine whether operating personnel are being trained or other appropriate procedures are being
followed to ensure that new treatment equipment or facilities will be operated properly after
construction is completed.
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5.1.3 CEI Facility Site Review
The objective of a facility site review is to examine the permittee's premises for problem areas. This
overall review allows the inspector to gain a feeling for the facility being inspected and to review areas that
may indicate problems with plant operations or effluent limitations.. During a facility site review, an inspector
must examine all areas of the permittee's premises where pollutants are generated, pumped, conveyed, treated,
stored, or disposed. The inspector should also perform a visual inspection of all monitoring and treatment
equipment. The inspector must have a full understanding of each treatment process in the facility and how
each process fits into the overall treatment scheme, as well as an understanding of the upstream conditions that
affect treatment operations, to examine the facility effectively.
As the inspector conducts an industrial facility site review, s/he should become familiar with the
following information about the facility being inspected:
Flow of raw water used for production, the facility's water consumption and distribution usage, and
the hydraulics of the facility's drainage and collection system
Raw materials and any additives used in production as well as all end-products; by-products; and
other liquid, gaseous, and solid wastes resulting from the production process
Treatment processes
Wastewater characteristics
Production processes.
If the inspector is conducting a site review of a municipal treatment plant rather than an industrial
facility, s/he should become familiar with somewhat different information. Besides learning about the facility's
treatment processes and wastewater characteristics, the inspector should determine the following information:
Nature of the contributing industrial community
Pollutants received by treatment facility and their probable sources
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Volume and nature of influent and effluent flow
Whether the plant accepts hazardous wastes.
Before conducting a tour of the facility, the inspector must hold pretnspection discussions with the facility
owner and/or operator. During these discussions, the inspector should explain to the permittee the authority to
enter the facility and discuss the applicable provisions of the CWA. It is to the inspector's advantage to
conduct the facility site review as soon as possible upon entering the facility. This prevents the permittee from
altering any problem areas. After completing preliminary discussions, the inspector will be ready to tour the
facility. During the plant tour, the inspector should be alert and should inquire about situations such as:
Accumulations of solids and scum in wet wells or excessive buildup of scum, grease, foam, or
floating materials in tanks.
Obnoxious odors in or around wet wells, grit chambers, aerobic biological units, scum removal
devices, and sludge handling facilities.
High flows in influent lines, overflow weirs, and other structures.
Vital treatment units out-of-service for repairs. (The inspector should determine when the units
were taken out of service, the type of failure experienced, and when the units will be put back in
service.)
Any unusual equipment or operations such as special pumps, floating aerators in diffused air
systems, chemical feeders, construction, temporary structures, or any rigged systems intended to
correct operational problems.
Presence of excessive weeds and algae in stabilization ponds, etc. (Earthen retention walls (dikes)
should be checked for breaches, leaks, and other problems requiring maintenance.)
Sludge decomposing in clarifiers as indicated by gas bubbles rising to the surface or by floating
sludge cakes.
Freezing wastewater in ammonia stripping towers, formation of excessive calcium carbonate
deposits on tower structures, fouling of fabric in microscreens due to the presence of grease and
solids, and mechanical fouling of activated carbon columns.
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Visual condition of discharges (i.e., the presence of scum, foam, solids, color, steam, or oil) and
whether excessive suspended solids, turbidity, foam, oil or grease, scum, color, or other
macroscopic particulate matter are present in the plant effluent and the receiving waters.
Adequate safeguards to prevent the discharge of untreated or inadequately treated wastes during
electrical failures.
Unauthorized discharge points and/or bypasses, channels, or other areas likely to experience
overflows. (The inspection should determine if spills or unauthorized use has recently occurred as
a result of facility staff attempting to correct operational problems.)
Disposal of collected screenings, slurries, sludges, or other by-products of treatment. (These
materials, including wastewater should be disposed of in a manner so as to prevent the materials
from entering navigable waters or their tributaries.)
Changes in production, whether expansions or reductions in production capacity. (If production
changes have been introduced, the inspector will need to conduct an industrial process verification,
inquire about the changes, determine if the changes will increase or decrease the facility's
discharge above or below the current effluent limitation, and determine whether EPA was notified
of the changes.)
In addition, the inspector should check the appropriateness of monitoring locations, existence and
condition of permittee's self-monitoring equipment (both field and laboratory), and the facility's maintenance
program. The inspector should also conduct postinspection discussions. These discussions are covered later in
this module.
5.1.4 CEI Self-Monitoring Review
The self-monitoring review is the CEI component that examines the permittee's self-monitoring program.
To perform this review thoroughly, it is the inspector's responsibility to be familiar with the monitoring
requirements contained in the facility's permit and with any correspondence which may have modified or re-
established sampling points or analytical procedures. The inspector should also be thoroughly familiar with
approved test methods and specified sample holding times, or in the case of a complex list, should have
available a reference list of the approved methods for those samples required by the permit. For information
on approved sampling procedures and analytical test methodologies, inspectors should review the Sampling
Procedures and Laboratory Analysis Modules and the references recommended in each.
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There are three objectives of the self-monitoring review: (1) the review should confirm that sampling
and flow measurement equipment are provided as required in the permit and that they are being operated and
maintained properly; (2) the review should verify that the analyses are being performed with the proper
equipment and by persons who have the requisite skills; and (3) the review should confirm that the analytical
test methods used to evaluate pollutants or parameters specified in the NPDES permit conform with the
Agency's regulations in 40 CFR Part 136.
When conducting the self-monitoring review, the inspector should:
Verify that flow measurement devices are in use and are adequate to handle expected ranges of flow
rates
Verify that samples are taken at locations prescribed in the NPDES permit
Verify that the sampling location specified in the permit is adequate to provide a representative
sample of the regulated discharge
Verify that the frequency of sampling is performed in accordance with the NPDES permit
requirements
Verify that samples are collected and preserved in accordance with 40 CFR Part 136
Verify that samples are analyzed within holding times and analyzed according to approved test
methods in 40 CFR Part 136
Verify that chain-of-custody procedures are used
Verify that quality assurance and quality control is used in all self-monitoring programs
Check all sampling, monitoring, and laboratory equipment to verify that all equipment is in working
order and has been maintained, operated, and calibrated correctly.
5.1.5 CEI Discharge Monitoring Report/Quality Assurance Review
A Discharge Monitoring Report (DMR)/Quality Assurance (QA) review is the CEI component which
focuses on aspects of quality assurance in the permittee's self-monitoring program. A DMR/QA inspection is
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usually conducted, along with other aspects of a CEI, as follow-up to DMR/QA performance sample findings.
For more details on examining the permittee's self-monitoring program, refer to Section 5.3 of this module,
which discusses PAIs.
5.1.6 Post-Inspection Reporting
The inspector should complete the NPDES Compliance Inspection Report (EPA Form 3560-3 in
Appendix G) for all sections applicable to the CEI. The inspection type for a CEI is denoted by inserting a
"C" in Column 18 of the form. For more information on the use of this form, refer to Chapter 7 of this
module and to EPA's NPDES Compliance Inspection Manual.
Deficiencies identified during the CEI should be documented by the inspector on the Deficiency Notice
developed by EPA for use Nationally and contained in Appendix H. Information on the form's use is also
provided in the memo in Appendix H.
5.2 CONVENTIONAL AND TOXIC COMPLIANCE SAMPLING INSPECTIONS
The second and third types of compliance inspections to be discussed are the CSI and the XSI. For the
CSI and the XSI, inspectors must be familiar with both the NPDES Compliance Inspection Manual and the
Sampling Procedures Module. The average resource allocation for a CS[ ranges from 16 days for inspection of
a municipal facility to 30 days for inspection of an industrial facility. The XSI generally involves more
resources to accommodate sampling and analysis of toxic pollutants. To conduct an XSI successfully, the
inspector should be knowledgeable about organic chemistry and process operations waste sources, and control
technology associated with the facility being inspected. It is also helpful if the inspector has an ability to
evaluate and interpret toxics data.
There are five objectives of both the CSI and the XSI: (1) the CSI and XSI serve to verify the
permittee's compliance with the effluent limitations specified in the permit; (2) the inspections are used to
verify the permittee's self-monitoring data; (3) they are used to ensure that parameters specified in the permit
are consistent with the facility's wastewater characteristics; (4) the inspections support permit reissuance and
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revision and build a file for further inspections; and (5) the CSI and XSI support enforcement actions taken
against the permittee. In addition to the information to be collected as part of the CEI, eight other steps are
incorporated into the CSI and the XSI. As part of the CSI/XSI, the inspector should: :
Sample at the locations and for the parameters specified in the NPDES permit
Sample at locations and for parameters not specified in the NPDES permit, as requested by
permitting enforcement personnel
Measure flow by either verifying accuracy of in-plant equipment or by actual independent flow
measurement
Verify that the permittee's sampling location(s) include all the effluent from process and nonprocess
wastewater systems
Verify that the permittee's sampling techniques are adequate to ensure the collection of representative
samples
Verify that the permit sampling and monitoring requirements will yield representative samples
Verify that the parameters specified in the permit are adequate to cover all pollutants of concern
discharged by the permittee
Conduct postinspection discussions (limited to specific findings) with the appropriate representatives
of the permittee.
More detailed information about sampling and flow measurement is provided in the Sampling Procedures
Module.
It is important to note that the CSI/XSI incorporate all aspects of a CEI. These inspections, however,
are more comprehensive than the CEI because they include sampling. The NPDES Compliance Inspection
Report (EPA Form 3560-3) is used to document the findings of all types of NPDES inspections, so the
inspector should refer to this form in Appendix G. The inspection type for a CSI is denoted by entering an
"S" in Column 18 of the inspection report form. The inspection type for an XSI is denoted by entering an "X"
in that same column. Deficiencies identified by the inspector during the CSI/XSI should be documented on
the Deficiency Notice (see Appendix H).
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5.3 PERFORMANCE AUDIT INSPECTION
A fourth type of inspection that may be performed is the PAI. The PAI examines a permittee's
self-monitoring procedures and includes all aspects of a CEI. It requires approximately 12 workdays for
completion. Before conducting a PAI, all inspectors should be familiar with the latest editions of EPA's
NPDES Compliance Inspection Manual and the training modules on sampling procedures and laboratory
analysis.
The PAI has six major objectives. It is intended to:
Evaluate compliance schedules established in the NPDES permit and to review DMR data submitted
by the permittee
Determine if self-monitoring requirements contained in the permit are adequate and are being
complied with by the permittee
Evaluate the permittee's sampling techniques
Evaluate the permittee's and/or its contract laboratory's analytical procedures
Evaluate the permittee's and/or its contract laboratory's quality assurance and quality control
procedures
Gather data and information that supports enforcement action.
To fulfill these objectives, the inspector should apply engineering, chemistry, and biological skills. An
inspector should also be able to distinguish between procedures that a permittee is required to follow and those
that are desirable to improve the way in which a permittee satisfies its permit conditions.
The NPDES inspector has several responsibilities to meet during the PAI: (1) s/he must be familiar with
the self-monitoring requirements established in the NPDES permit; (2) the inspector must be familiar with any
correspondence modifying the permittee's sampling points; (3) the inspector must fulfill the CEI's objectives;
(4) s/he must visually inspect all aspects of the permittee's self-monitoring procedures; (5) the inspector must
be extremely knowledgeable about common self-monitoring procedures (since the PAI is an in-depth evaluation
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of these procedures); and (6) the inspector should posses a broad understanding of laboratory procedures. S/he
should be familiar with EPA-approved analytical methods, be capable of recognizing equipment typically
associated with these methods, provide credible advice on such methods, and be familiar with alternative
test-approval procedures.
The inspector should review the modules on Sampling Procedures and Laboratory Analysis for
information on deficiencies in these areas. The inspector should also be able to distinguish between
deficiencies in self-monitoring procedures (which may be corrected by instruction on the proper procedures)
and violations of those procedures. All violations identified during an inspection should be recorded on the
NPDES Compliance Inspection Report form (see Appendix G). The inspector should not discuss the
compliance status with the permittee because the onsite findings usually do not include sampling results and are
subject to further enforcement review before compliance determination.
When conducting a PAI, the NPDES inspector is expected to carry out the following tasks:
Confirm that primary flow measurement devices are appropriate for the wastestreams being
measured, and that the devices are properly installed, free of debris, and properly maintained. (For
more information, the inspector should refer to the module on Sampling Procedures.)
Observe instrument calibration and maintenance.
If the permit requires "continuous flow" monitoring, check for the existence of a flow recording
device, verify its proper operation, and review the discharger's flow records.
Observe sample collection and measurement techniques, including sampling preservation, holding
time, and location of sampling equipment deficiencies. (The inspector may wish to review the
appropriate section of EPA's NPDES Compliance Inspection Manual for more information on
identifying deficiencies.)
Examine appropriate permittee records and reports.
If the facility has an onsite laboratory, the inspector must perform these additional activities:
Verify [by referring to 40 CFR Part 136 and Section 304(h) of the Act] that methods of analysis used
by the onsite laboratory are approved for the parameters being analyzed
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Verify that the laboratory has written instructions on analytical test methods
Verify that QA/QC methods are being employed
Check equipment availability and condition
Check for proper sign-off procedures
Examine staff capabilities
Check the health and safety conditions of the laboratory
Check the laboratory's maintenance and calibration records
Check the viability of reagents and standard solutions
Check for proper shipment of samples if some or all of the samples are not analyzed onsite
Evaluate laboratory capabilities with performance samples
Check for proper sample holding times and preservation techniques.
If the permittee uses an offsite laboratory, the inspector must:
Verify the name and address of the laboratory
Verify the procedures for labeling and shipping samples
Verify that sample results are properly coded
Check for onsite evaluations of the offsite laboratory by other EPA programs or by the permittee
(e.g., duplicate or split samples)
Verify that the sample holding times and methods of preservation are according to EPA requirements
Verify compliance with Department of Transportation (DOT) regulations for the shipment of
hazardous materials.
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If the offsite laboratory has not previously been evaluated or if the inspector questions the validity of
results reported, this laboratory should be evaluated as part of the PAI, if possible, in the same manner as an
onsite laboratory.
When conducting a PAI, a thorough knowledge of correct and required sampling and analysis procedures
is essential to the inspector, who must identify and document deficiencies in the permittee's self-monitoring
program. As the inspection proceeds, the inspector should note observed deficiencies, discuss them with the
permittee's self-monitoring personnel, and identify correct procedures whenever feasible. The inspector should
keep detailed notes of deficiencies and identified corrections and responses. However, when the inspector
suspects criminal activity, s/he should always exercise judgement in disclosing information. The inspector
should not discuss compliance status, any legal effects, or enforcement consequences with the permittee's
representative or with facility operating personnel. The inspector should note all information pertaining to an
apparent violation on the NPDES Compliance Inspection Report form.
When completing the NPDES Compliance Inspection Report form in order to enter data into the
automated PCS, the symbol used to designate a PAI is "A." This should be inserted in Column 18 of the
form.
5.4 COMPLIANCE BIOMONITORING INSPECTION
The CBI involves collecting samples of the permittee's effluent, conducting acute or chronic toxicity
testing, determining the instream waste concentration of the effluent, and evaluating the permittee's
biomonitoring program. A PAI or CEI may also be used to evaluate the permittee's biomonitoring program.
The resources allocated for biomonitoring are generally 6 days for a 24-hour static test and 30 days for a
96-hour flow-through test.
The objectives of a CBI are to:
Screen for toxic conditions in an effluent and assess biological effect
Evaluate compliance with water quality standards
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Monitor toxic compounds that may or may not be controlled through economically achievable Best
Control Technology/Best Available Technology (BCT/BAT)
Evaluate permit limitations
Develop enforcement cases
Investigate probable cause violations
Develop data for establishing new effluent limitations.
As with the other inspection types, the NPDES inspector has certain responsibilities to meet during the
inspection, including:
Knowledge of the biomonitoring conditions, effluent toxicity limitations, and related interim and
final requirements set forth in the latest NPDES permit
Knowledge of EPA policies and procedures to conduct, interpret, and report biomonitoring of
wastewater effluent
Completing the inspection plan and scheduling the inspection
Conducting the onsite biomonitoring evaluation
Preparing and assembling complete and accurate records of self-monitoring practices and other
issues addressed during a biomonitoring inspection ,
Following up with the appropriate representatives of the permittee after the inspection with regard to
biomonitoring performance, quality control, and related compliance activities evaluated during the
inspection.
Toxicity tests are generally described as either acute or chronic. The responses observed will determine
which term is appropriate. When mortality is observed, tests are considered acute. Chronic tests are those that
measure growth, reproduction, or terata. Technically, acute and chronic refer to the length of time organisms
are exposed to toxicants before responses are observed. In this context, acute refers to short-term responses,
and chronic refers to responses that develop after long-term exposure.
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Toxicity tests may be conducted onsite (at the effluent discharge point) or offsite (at a testing laboratory).
Onsite biomonitoring may include the following toxicity tests:
Acute toxicity tests
- An 8- to 24-hour range-finding (screening) test
- A 24- to 96-hour static test
A 96-hour flow-through test
- A 24-hour quality assurance test with a standard toxicant
Chronic toxicity tests
- Range finding tests
- Monthly acute tests with a standard toxicant
- Short-term chronic tests (either static or flow-through).
Offsite analysis as part of a biomonitoring inspection consists of a 24-hour static test. A sample of the
permittee's effluent is collected and taken to a laboratory for testing. An LC,0 is calculated and multiplied by
an application factor. The result is compared with the instream waste concentration to determine the
compliance of the permittee's effluent with permit requirements. More specific information on toxicity testing
can be found in EPA's NPDES Compliance Inspection Manual and the module on Biomonitoring.
As with the other inspections, the inspector should complete the NPDES Compliance Inspection Report
form for a. CBl. In this case, s/he would enter a "B" in Column 18 of the form.
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6. PRETREATMENT COMPLIANCE INSPECTION
6.1 REVIEW OF THE GENERAL PRETREATMENT REGULATIONS
The General Pretreatment Regulations (40 CFR Part 403), establishing the National Pretreatment
Program were first promulgated on June 26, 1978. The program was developed to regulate industries that
discharge pollutants to POTWs. The regulations, which were subsequently revised and repromulgated on
January 28, 1981, specify the basic procedures, responsibilities, and requirements of EPA, States, POTWs, and
industries in implementing the National Pretreatment Program. Since publication of the rule in 1981, the
regulations have continued to be revised. Amendments to the regulations were promulgated on October 17,
1988, to clarify some aspects of the regulations and to respond to the findings of the Pretreatment
Implementation Review Task Force (PIRT) study conducted in 1984. [For a discussion of the findings and
recommendations of PIRT, inspectors may wish to review the Pretreatment Implementation Task Force CPIRT)
Final Report published by EPA in 1985.]
Additional regulatory changes to 40 CFR Parts 122 and 403 were promulgated on July 24, 1990, (Fed.
Reg. 30082) in response to the recommendations made in the Domestic Sewage Study (DSS).
The purpose of the General Pretreatment Regulations is to protect POTWs and the environment from the
damage that may result from nondomestic discharges to sanitary sewer systems. The three specific objectives
cited in 40 CFR 403.2 are:
To prevent the introduction of pollutants that would cause interference with the POTW's operations
or that would limit the use or disposal of its sludge
To prevent the introduction of pollutants that would pass through the treatment works or be otherwise
incompatible
To improve the opportunities to recycle or reclaim municipal and industrial wastewaters and sludges.
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In addition, EPA policy encourages the protection of worker health and safety as part of the local
pretreatment program. Table 6-1 summarizes the General Pretreatment Regulations and notes major technical
changes that have resulted from regulatory revisions or court decisions.
6.2 PRETREATMENT COMPLIANCE INSPECTIONS
For EPA or States with delegated pretreatment responsibilities to evaluate the implementation and
compliance status of the pretreatment program Nationally, EPA developed three types of evaluations: (1) the
PCI; (2) the pretreatment program audit; and (3) the annual report. The PCI evaluates a POTW's compliance
monitoring and enforcement activities. It is also designed to determine if changes have been made to the
POTW's program since approval or the last PCI, audit, annual report, or previous program modification. The
role of the NPDES inspector during a PCI is that of a data gatherer who collects information on POTW
program implementation to be evaluated further by EPA or State permits and enforcement personnel.
The PCI has been designed to be incorporated into the existing NPDES inspection program. Two days
are usually allocated to the conduct and follow-up of a PCI. PCIs should be conducted, where possible, in
conjunction with other NPDES inspections to conserve travel resources and to integrate information on other
facets of a POTW's operations. PCIs are compatible with CEIs, CSIs, PAIs, and CBIs, as well as with other
types of inspections not discussed in detail in this module.
A PCI involves three major components: (1) preinspection preparations; (2) onsite evaluations; and (3)
follow-up activities. Each of these components is highlighted below and discussed in detail in EPA's 1986
Pretreatment Compliance Inspection and Audit Manual for Approval Authorities. Previsit or preinspection
preparations consist of:
Coordination of inspection plans with EPA Regional and/or State Pretreatment Coordinators.
Review of background information on the POTW and its pretreatment program. Information that
should be reviewed by the inspector prior to the inspection includes the approved program document,
POTW annual reports (if available), POTW fact sheets, program modification requests, and the
POTW's NPDES permit compliance status.
NOTES:
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NPDES Compliance Monitoring Inspector Training: OVERVIEW
TABLE 6-1. SUMMARY OF THE GENERAL PRETREATMENT REGULATIONS
The General Pretreatment Regulations are divided into 18 sections (40 CFR 403.1 through 40 CFR 403.18) and
4 appendices (Appendices A-D). The 18 sections and 4 appendices are listed below, along with brief
explanations of the contents of each, where necessary.
403.1
403.2
403.3
403.4
403.5
Purpose and Applicability
Objectives of General Pretreatment Regulations
Definitions
State or Local Law
The General Pretreatment Regulations are not meant to affect any State or local regulatory
requirements as long as those requirements are at least as stringent as the Federal regulations.
National Pretreatment Standards: Prohibited Discharges
General and specific prohibited discharge standards that POTWs must incorporate into their
pretreatment programs are provided in this section. The general prohibitions specify that
pollutants introduced into POTWs by nondomestic sources will not pass through the POTW or
interfere with the operation or performance of the treatment works. POTWs required to
develop local pretreatment programs (and POTWs where interference and pass through are
likely to occur) must develop and enforce specific limitations to implement the general
prohibitions against interference, pass through, and sludge contamination.
The five prohibitions specify prevention of discharge of pollutants that cause any of the
following conditions to occur at the POTW (including within the collection system):
Fire or explosive hazard
Corrosive structural damage ( no pH <5.0 s.u.)
Obstruction of flow in the POTW
Interference
Heat causing inhibition of biological activity and temperatures at the treatment plant to
exceed 40°C (104°F).
Amendments on January 14, 1987, provided industrial users with an affirmative defense (if
specified conditions are met) for actions brought against it for alleged violations of the general
or specific prohibitions contaminated in this section.
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TABLE 6-1. SUMMARY OF THE GENERAL PRETREATMENT REGULATIONS
(Continued)
403.6
403.7
403.8
403.9
403.10
National Pretreatment Standards: Categorical Standards
Development and implementation of categorical pretreatment standards including compliance
deadlines, concentration and mass limits, prohibition of dilution as a substitute for treatment,
and use of the combined wastestream formula to determine discharge limitations is discussed
in this section.
Revision of Categorical Pretreatment Standards to Reflect POTW Removal of Pollutants
This removal credits provision provides the criteria and procedures to be used by a POTW in
revising the pollutant discharge limits specified in categorical pretreatment standards to reflect
removal of pollutants by the POTW. (No removal credits may be granted until final sludge
regulations are promulgated.)
POTW Pretreatment Programs: Development by POTW
The requirements for pretreatment program development by a POTW are outlined in this
section. Included are criteria for determining which POTWs must develop pretreatment
programs, program approval deadlines, incorporation of approved programs and compliance
schedules in NPDES permits, and program and funding requirements. The POTW is required
to have sufficient legal authority to enforce the approved pretreatment program. It is also
stated in this section that all POTWs with approved programs or programs under
development, must develop and implement procedures to ensure compliance with the
requirements of a pretreatment program.
POTW Pretreatment Programs and/or Authorization to Revise Pretreatment Standards:
Submission for Approval
Requirements and procedures for submission and review of POTW pretreatment programs are
discussed in this section. Included are discussions of conditional program approval, approval
authority action, and notification where submissions are defective.
Development and Submission of NPDES State Pretreatment Programs
Requirements and procedures for submission and review of NPDES State pretreatment
programs are provided in this section. Included are discussions of deadlines for approval of
State programs; legal authority, procedural, and funding requirements; and contents of
program submissions.
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TABLE 6-1. SUMMARY OF THE GENERAL PRETREATMENT REGULATIONS
(Continued)
403.11
403.12
Approval Procedures for POTW Pretreatment Programs and POTW Revision of
Categorical Pretreatment Standards
Included in this section are procedures for accepting or denying POTW requests for program
approval of removal credits authority.
Reporting Requirements for POTWs and Industrial Users
Reports required by industrial users include the following:
Baseline monitoring reports - Submit to the Control Authority within 180 days of the
effective date of the categorical pretreatment standards. In addition, new source BMR
reporting requirements are discussed.
Compliance schedule (for meeting categorical pretreatment standards') progress reports -
Submit to the Control Authority within 14 days of completion of compliance schedule
milestone or due dates.
Report on compliance with categorical pretreatment standard deadline (final compliance
report) - Submit to the Control Authority within 90 days of the compliance date of the
categorical pretreatment standards.
Periodic reports on continued compliance - Submit to the Control Authority at least
semiannually, usually in June and December after the compliance date.
Notice of potential problems, including slug loadings - Required to be submitted by
categorical and noncategorical industries immediately upon identification of discharges
including slug loadings that could cause problems to the POTW treatment plant.
Notice of changed discharge - Required to be submitted to the Control Authority by
categorical and noncategorical industrial users in advance of any significant change in
volume or character of pollutants discharged.
Reports required by POTWs include the following:
Compliance schedule progress reports (for development of pretreatment programs)
Removal credit reports.
Signatory certification and record keeping requirements for POTWs and industrial users and
monitoring requirements for industrial users are specified in this section.
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TABLE 6-1. SUMMARY OF THE GENERAL PRETREATMENT REGULATIONS
(Continued)
403.13 Variances from Categorical Pretreatment Standards for Fundamentally Different Factors
This provision allows an industrial user or any interested person to request a variance for the
establishment of limits either more or less stringent than required by a categorical
pretreatment standard. The primary criteria required for approval of this variance is that the
factors relating to the industrial user's discharges are fundamentally different from the factors
considered by EPA in establishing categorical standards for these discharges.
403.14 Confidentiality
The confidentiality requirements and prohibitions for EPA, States, and POTWs are covered in
this section. Effluent data is available to the public without restriction.
403.15 Net/Gross Calculation
This provision provides for adjustment of categorical pretreatment standards to reflect the
presence of pollutants in the industrial user's intake water.
403.16 Upset Provision
This provision allows an upset (which meets the conditions of an "upset" as specified in this
provision) to be an affirmative defense to an action brought for noncompliance with
categorical pretreatment standards. The industrial user will have the burden of proof for such
a defense.
403.17 Bypass
The requirement for industrial users to operate their treatment systems at all times is specified
in this section. Also included in this provision are criteria for allowing bypass to occur and
notification procedures for both an anticipated and unanticipated bypass.
403.18 Modification of POTW Pretreatment Programs
This provision specifies procedures for criteria for "minor" and "substantial" modifications to
approved POTW pretreatment programs and incorporation of substantial modifications into the
POTW's NPDES permit.
Appendix A Program Guidance Memorandum
This memorandum summarizes the Agency's policy on the use of construction grants for
treatment and control of combined sewer overflows and stormwater discharges.
Appendix B 65 Toxic Pollutants
This appendix lists the 65 toxic pollutants which are regulated by the pretreatment program
through categorical pretreatment standards.
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TABLE 6-1. SUMMARY OF THE GENERAL PRETREATMENT REGULATIONS
(Continued)
Appendix C Industrial Categories Subject to National Categorical Pretreatment Standards (previously
titled "34 Industrial Categories")
The Appendix C, published on January 21, 1981, listed 34 industrial categories originally
expected to be regulated by the pretreatment program through categorical pretreatment
standards. Appendix C was revised on June 4, 1986, to incorporate changes to previous
categorization, to delete categories that were exempted by paragraph 8 of the NRDC vs. EPA
Consent Decree, and to incorporate additional categories for which standards are being
developed or considered.
Appendix D Selected Industrial Subcategories Considered Dilute for Purposes of the Combined
Wastestream Formula (previously titled "Selected Industrial Subcategories Exempted
from Regulation Pursuant of paragraph 8 of the NRDC vs. Costle Consent Decree")
The Appendix D, published on January 21, 1981, provided a list of industrial Subcategories
that had been exempted (pursuant to paragraph 8 of the NRDC vs. EPA Consent Decree)
from regulation by categorical pretreatment standards. Appendix D was revised on October 9,
1986, to update the list of exempted industrial categories and to correct previous errors by
either adding or removing various Subcategories or by changing the names of some categories
or Subcategories. Each of the Subcategories, as indicated by the revised Appendix D title,
contains wastestreams that are classified as dilute for purposes of applying categorical
pretreatment standards to other wastestreams and for using the combined wastestream formula
to adjust these standards.
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Notification of POTW officials prior to the inspection.
Onsite activities consist of:
Opening conference with POTW officials
Interviews with POTW officials based on information to be gathered for completion of the PCI
checklist
Review of POTW pretreatment files on industrial users and other program activities
Inspection of industrial user facilities to evaluate each industrial user's pretreatment systems,
monitoring equipment, spill prevention and control procedures, chemical storage, waste disposal
practices, and other facets of the user's facility with the potential to affect the POTW
Tour of the POTW (optional)
Closing conference with POTW officials. I
Follow-up responsibilities include:
Completion of the PCI checklist/preparation of inspection reports
Entry of data into PCS
Distribution of follow-up letters to POTW officials and to other personnel who participated in the
inspection (e.g., nondelegated State personnel)
Enforcement action, when necessary
Modification of NPDES permit conditions or POTW program responsibilities and procedures, when
necessary.
NOTES:
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NPDES Compliance Monitoring Inspector Training: OVERVIEW
In addition to completing the NPDES Compliance Inspection Report form ("P" is used for a municipal
PCI and "I" for an industrial inspection), the inspector is expected to complete a checklist developed to
document the PCI's findings and to summarize the required and recommended actions that the POTW should
take. A copy of this checklist is contained in EPA's 1986 Pretreatment Compliance Inspection and Audit
Manual for Approval Authorities.
6.3 PRETREATMENT PROGRAM AUDITS
In contrast to PCIs which are intended to evaluate a POTW's pretreatment compliance monitoring and
enforcement activities, pretreatment audits are more resource-intensive, depending upon the industrial
characteristics of the POTW's service area and the complexity of the POTW's program. Pretreatment audits
are designed to be a comprehensive review of all facets of a POTW's program. Audits not only address the
items evaluated during PCIs but also examine a POTW's legal authority to implement and enforce program
requirements, its procedures for applying pretreatment standards to industrial users, the adequacy of its
pretreatment data management systems, and the resources allocated to carry out program responsibilities.
The procedures for conducting an audit are similar to those discussed previously for conducting a PCI.
A more extensive checklist than the PCI checklist is used to document the findings and required actions of an
audit. A copy of this audit checklist appears in EPA's 1986 Pretreatment Compliance Inspection and Audit
Manual for Approval Authorities. Additional guidance manuals that discuss pretreatment program
responsibilities are included in the list of references provided in Appendix B.
NOTES:
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7. POST-INSPECTION PROCEDURES
Thus far in this training module, the types of inspections, the NPDES inspector's obligations and
responsibilities, preinspection activities, procedures for each type of inspection, and the use of the NPDES
Compliance Inspection Report form have been discussed. The last subject area to cover is postinspection or
follow-up activities. There are five major postinspection activities: (1) presentation of findings; (2) data
analysis; (3) completion and distribution of reports; (4) testimony; and (5) updating permittee files.
7.1 PRESENTATION OF FINDINGS
After concluding the inspection, the inspector should communicate the inspection results to the permittee.
Postinspection discussions must be limited to specific findings of the visit and should not include discussion of
any enforcement actions. Also, the inspector must remember that the overall compliance or noncompliance
status of the permittee is determined by the Enforcement Branch after reviewing the inspection report and not
by the inspector.
7.2 DATA ANALYSIS
For offsite testing, laboratory analysis should be completed as quickly and efficiently as possible. Results
of the laboratory analysis will be used by the inspector to complete compliance reports.
7.3 COMPLETION AND DISTRIBUTION OF REPORTS AND FORMS
Immediately after returning to the office, inspectors must complete EPA Form 3560-3 to the extent
possible before laboratory analytical results are returned. Instructions for completing this form appear on the
back of the form. At the completion of each inspection, the coding symbol for the type of inspection that has
been conducted should be entered in Column 18, labeled "Inspection Type." Table 7-1 shows the letters which
correspond to the type of inspection:
NOTES:
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TABLE 7-1. CODING SYMBOLS FOR INSPECTIONS
Type of Inspection
Initials
Code
Compliance Evaluation Inspection
Compliance Sampling Inspection
Toxics Sampling Inspection
Performance Audit Inspection
Compliance Biomonitoring Inspection
(Municipal)
Pretreatment Compliance Inspection
(Industrial User Inspections)
Diagnostic Inspection
Legal Support Inspection
Reconnissance Inspection
The inspector should fill out the inspection report form as completely as possible and as soon after the
inspection as possible to ensure that the report is filled out accurately and to the extent required. The inspector
should also note that EPA's compliance activities are supported by the results reported on the inspection report
form. Inspectors must, therefore, take care to complete the form in a detailed and accurate manner.
Deficiencies identified during an inspection of a permittee's self-monitoring program, biomonitoring
program, laboratory procedures, pretreatment program implementation, or other permit requirements should be
noted on a Deficiency Notice Form (see Appendix H).
CEI
CS1
XSI
PAI
CBI
PCI
DI
LSI
RI
"C"
"S"
"X"
"A"
"B"
"P"
"I"
"D"
"L"
"R"
NOTES:
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After the inspection report form has been completed, the inspector should distribute copies of the report
to the appropriate enforcement personnel (the inspector's supervisor should be consulted to determine the
precise distribution of the report). Enforcement personnel then will determine the permittee's compliance status
with permit conditions.
7.4 TESTIMONY
In certain cases, EPA's Enforcement Branch and Regional Counsel may decide to recommend court
action against the permittee. Should this occur, the inspector may be asked to testify. It is important that the
inspector's field notes be objective and legible for this purpose. For more information on testifying as
follow-up to NPDES inspections or on other legal issues, the inspector should refer to the Legal Issues Module.
7.5 UPDATING PERMITTEE FILES
The inspector is responsible for updating permittee compliance files as soon as possible after the
inspections are conducted. When all data have been placed on the inspection form, the information must be
entered into PCS. An inspection is not credited until inspection findings have been coded into PCS. Timely
completion of reports is, therefore, important.
NOTES:
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8. SUMMARY
This module discussed the basic purpose for compliance inspections and the general methods for
conducting an inspection. It also provided a brief overview of the different types of compliance inspections that
may be conducted. Inspectors should now review the questions in Appendix C to test their understanding of
the module's contents.
At this point, inspectors should have an understanding of the scope of the NPDES compliance program.
It is important to remember that inspectors represent EPA's interests in the field and are, therefore, responsible
for acting in an effective, appropriate, and responsible manner. If inspectors have any questions regarding the
material contained in this module, consult the reference materials listed in Appendix B of this module and
contact their supervisor.
NOTES:
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APPENDIX A
GLOSSARY
AND
LIST OF ACRONYMS
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NPDES Compliance Monitoring Inspector Training: OVERVIEW
GLOSSARY
Acclimation - The physiological and behavioral adjustments of an organism to changes in its immediate
environment.
Act - The Federal Water Pollution Control Act as amended; usually referred to as the Clean Water Act.
Acute Toxicity - Short-term effect of a toxicant on test organisms. Death is usually the end point in acute
toxicity tests.
Administrator - The Administrator of the U.S. Environmental Protection Agency (EPA).
Agency - The U.S. Environmental Protection Agency (EPA).
Announced Inspection - An inspection in which a permittee is aware of the exact dates on which the inspection
is scheduled to take place.
Approval Authority - The NPDES State with an approved State pretreatment program or EPA in a State
without an approved State pretreatment program.
Bioassay - A test used to evaluate the relative potency of a chemical by comparing its effect on a living
organism with the effect obtained from a standard preparation on the same type of organism of Bioassays
are frequently used in the pharmaceutical industry to evaluate potency of vitamins and drugs. The terms
"bioassay" and "toxicity test" are not synonymous.
Biomonitoring - The use of toxicity testing to determine the toxicity of effluent in receiving waters.
Chain-of-Custody - All of the administrative procedures directed toward protecting and certifying the integrity
and, therefore, the acceptability of evidence in a legal proceeding.
Chronic Toxicity - Long-term exposure of a toxicant on test organisms.
Compliance Evaluation Inspection (CEI) - An inspection conducted without sampling to determine compliance
with the Clean Water Act and NPDES permit requirements.
Compliance Monitoring - Collection and evaluation of data including self-monitoring reports and verification to
show whether pollutant concentrations and loads contained in permitted discharges are in compliance with
the limits and conditions specified in the permit.
Compliance Sampling Inspection (CSI) - An inspection conducted with sampling to determine compliance with
the Clean Water Act and NPDES permit requirements.
Compliance Schedule - A schedule of remedial measures, including an enforceable sequence of actions or
operations, leading to compliance with an effluent limitation, prohibition, or standard.
Composite Sample - A sample derived from several discrete samples collected at equal time intervals or
collected proportional to the flow rate over the compositing period (refer to EPA's NPDES Compliance
Inspection Manual).
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Confidential Information - Information supplied to EPA by a permittee, which, if made public, would divulge
methods or processes entitled to protection as trade secrets.
Control Authority - The term refers to either: (1) the POTW if it has an approved pretreatment program under
the provisions of 40 CFR 403.11; or (2) the "Approval Authority," as defined above if the POTW's
submission has not been approved.
Definitive Test - Full-scale bioassay consisting of at least five different concentrations of effluent in an
exponential series with each concentration and control tested against a sufficient number of organisms of a
given species to produce statistical significance.
Direct Discharge - The discharge of treated or untreated wastewater directly to the waters of the United States,
Discharge - The introduction of pollutants into a POTW from any nondomestic source regulated under Section
307(c) and (d) of the Act.
Discharge Monitoring Report (DMR) - Information that permittees must submit, at least quarterly, on their
self-monitoring program to the respective NPDES permitting authority. At present, EPA Form 3320-1 is
used for reporting purposes.
Document Control - Administrative procedures used to track and maintain adequate records of all documents
issued by, or generated by, a particular program.
Effluent - For the purposes of this module, an outflow from a point source with some of its physical, chemical,
and biological parameters regulated by a NPDES permit.
Effluent Biomonitoring - Measurement of biological effects of effluent (e.g., toxicity, biostimulation, and
bioaccumulation).
Flow-through Bioassay - Continuous flow bioassay. A test in which different concentrations of the effluent are
prepared by mixing with adequate quality dilution water, then tested by allowing such effluent
concentrations to flow at predetermined rates into chambers containing the test organism.
Grab Sample - A single discrete sample taken on a one-time basis with no regard to flow or with no
consideration for time involved.
Indirect Discharge - The discharge or the introduction of nondomestic pollutants from any source into a
POTW.
Industrial User - Any nondomestic source discharging pollutants into a POTW.
Inspector - Any officer, employee, or contractor of the EPA or of any State duly authorized by the
Administrator to conduct inspections, make investigations, collect samples, or otherwise carry out the
provisions of the Act.
Instream Waste Concentration (IWC) - The concentration (expressed as a percent) of a permittee's waste hi the
receiving stream at the 7Q10 mean low flow. This is a 7-day flow, the lowest expected in a 7-day period
to occur, on the average, once every 10 years.
Interference - A discharge that alone or in conjunction with other discharges disrupts the POTW or sludge
processes and the disruption, in turn, causes a violation of any requirement of the POTW's NPDES permit
or prevents the POTW from using its chosen sludge use or disposal practice.
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NPDES Compliance Monitoring Inspector Training: OVERVIEW
LCJO - Median lethal concentration producing death in 50 percent of the test organisms within a specific period
of time.
Monitoring - In this module, overview by actual sampling and/or evaluation of a NPDES permittee's
compliance with permit conditions.
Multimedia Inspection - An inspection conducted to determine compliance status in accordance with two or
more environmental laws.
New Source - Any building, structure, facility, or installation from which there is or may be a discharge of
pollutants, the construction of which commenced after the publication of proposed pretreatment standards
under Section 307(c) of the Act which will be applicable to such source if such standards are thereafter
promulgated in accordance with that section.
National Categorical Pretreatment Standard or Pretreatment Standard - Any regulation containing pollutant
discharge limits promulgated by the EPA in accordance with Section 307(b) and (c) of the Act which
applies to a specific category of industrial users.
National Pollutant Discharge Elimination System (NPDES) - The permit system developed by EPA under the
authority granted by Section 402 of the Act.
Pass Through - A discharge that exits the POTW into waters of the United States in quantities or concentrations
which, alone or in conjunction with other discharges from other sources, is a cause of a violation of any
requirement of the POTW's NPDES permit (including an increase in the magnitude or duration of a
violation).
Performance Audit Inspection (PAI) - A nonsampling inspection which includes observation of all the elements
of a permittee's self-monitoring program, such as testing procedures and methodology, quality assurance,
data gathering and interpretation, files, and laboratory facilities.
Plot Plan - A map of a facility describing the layout of buildings, production processes, and other facility
structures.
Point Source - Any discernible, confined, and discrete conveyance, including, but not limited to, any pipe,
ditch, channel, tunnel, conduit, well, discrete fissure, container, rolling stock, concentrated animal feeding
operation or vessel, or other floating craft from which pollutants are or may be discharged as defined in
the Act. This term includes landfill leachate collection systems but does not include agricultural
stormwater discharges and return flow from irrigated agriculture.
Pretreatment or Treatment - The reduction of the amount of pollutants, the elimination of pollutants, or the
alteration of the nature of pollutant properties in wastewater to a less harmful state prior to, or in lieu of,
discharging or otherwise introducing such pollutants into a POTW. The reduction or alteration can be
obtained by physical, chemical, or biological processes, or through process changes or by other means,
except as prohibited by 40 CFR 403.6(d).
Pretreatment Compliance Inspection (PCI) - A nonsampling inspection of a POTW's pretreatment compliance
monitoring and enforcement of pretreatment program requirements on industrial users.
Process Verification - Verification that process raw materials, water usage, waste treatment processes,
production rate, and other factors relative to the quantity and quality of pollutants contained in discharges
are substantially described in the permit application and the issued permit.
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NPDES Compliance Monitoring Inspector Training: OVERVIEW
Publicly Owned Treatment Works (POTW) - A waste treatment facility owned by a State or municipality. This
definition includes any sewers that convey wastewater to the POTW treatment plant, but does not include
pipes, sewers, or other conveyances not connected to the facility providing treatment.
Quality Assurance (QA)" - The total program for ensuring data reliability by using administrative procedures
and policies to evaluate and maintain the desired quality of data.
Quality Assurance Bioassay - A bioassay performed with a standard toxicant in order to determine the
sensitivity of the test organisms.
Quality Control (QC) - The routine application of procedures to control the accuracy and precision of sampling
and analytical measurement process (as a function of quality assurance). Quality control of sampling
procedures should include the use of duplicate, spiked and/or split samples, and sample blanks. Quality
control of analytical procedures should include proper calibration of instruments and the use of appropriate
analytical procedures.
Rangefinding Test - A short-term (8-24 hours) flow-through or static bioassay (usually static) used to determine
the approximate concentrations, above and below the LQ,,, to be used in the definitive test. In this test,
groups of five organisms are exposed to three to five widely-spaced effluent dilutions.
Records and Reports - All records and reports maintained pursuant to Section 308(a)(A) of the Act and
specified in the permittee's NPDES permit.
Sampling Point - A particular site, the location of which may be specified in a permit and from which effluent
samples are to be collected for testing and evaluation.
Standard Toxicant - Toxic reference material used for QA purposes in the biomonitoring program. Its main
functions are to determine the reproducibility of test results and differences in sensitivity among batches of
test organisms.
Toxic Pollutant - Any pollutant or combination of pollutants listed as toxic in regulations promulgated by the
EPA Administrator under the provisions of Section 307(a) of the CWA or of other Acts.
Toxicity Test - The means to determine the toxicity of a chemical or an effluent with the use of living
organisms. A toxicity test measures "the degree of response of an exposed test organism to a specific
chemical or effluent.
Treatment Works - Any facility, method, or system for the storage, treatment, recycling, or reclamation of
municipal sewage or industrial waste of a liquid nature, including water in combined stormwater and
sanitary sewer systems.
User - Any person who contributes, causes, or permits the contribution of wastewater into a POTW.
Wastewater - The liquid and water-carried industrial or domestic wastes from dwellings, commercial buildings,
industrial facilities, and institutions, whether treated or untreated, which are contributed to or permitted to
enter the POTW.
Waters of the State - All streams, lakes, ponds, marshes, watercourses, waterways, wells, springs, reservoirs,
aquifers, irrigation systems, drainage systems, and all other bodies or accumulations of water, surface or
underground, natural or artificial, public or private, which are contained within, flow through, or border
upon the State or any portion thereof.
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NPDES Compliance Monitoring Inspector Training: OVERVIEW
LIST OF ACRONYMS
AO Administrative Order
BAT Best Available Technology Economically Achievable
BPT Best Practicable Control Technology Currently Available
CBI Compliance Biomonitoring Inspection
CD Consent Decree
CEI Compliance Evaluation Inspection
CSI Compliance Sampling Inspection
CWA Clean Water Act
DI Diagnostic Inspection
DMR Discharge Monitoring Report
EMS Enforcement Management System
EPA Environmental Protection Agency
LCjo Median lethal concentration producing death in 50 percent of the test organisms
LSI Legal Support Inspection
NPDES National Pollutant Discharge Elimination System
OMB Office of Management and Budget
OWEP Office of Water Enforcement and Permits
PAI Performance Audit Inspection
PCI Pretreatment Compliance Inspection
PCS Permit Compliance System
PIRT Pretreatment Implementation Review Task Force
POTW Publicly Owned Treatment Works
QA Quality Assurance
QC Quality Control
RI Reconnaissance Inspection
XSI Toxics Sampling Inspection
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APPENDIX B
REFERENCES
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C/834-03-283-01/REFERENC.B
NPDES Compliance Monitoring Inspector Training: OVERVIEW
REFERENCES
Elder, J.R. May 13, 1986. "Pretreatment Compliance Inspections and Audits." Office of Water Enforcement
and Permits. U.S. Environmental Protection Agency, Washington, DC
"Employee Responsibilities and Conduct." Federal Register. Vol. 49, No. 41.
"Enforcement Management System Guide." 1989 Office of Water Enforcement and Permits. U.S.
Environmental Protection Agency, Washington, DC
Federal Water Pollution Control Act. 33 U.S.C. 1251 et seq. as amended by the Water Quality Act of 1987.
P.L. 100-4, February 4, 1987.
"Guidelines Establishing Test Procedures for the Analysis of Pollutants Under 40 CFR 136." Most current
edition.
Hanmer, R.W. April 16, 1985. "NPDES Inspection Strategy and Guidance for Preparing Annual State/EPA
Compliance Inspection Plans." OWEP, U.S. EPA, Washington, DC
Hanmer, R.W. August 5, 1985. "Local Limits Requirements for POTW Pretreatment Programs." Office of
Water Enforcement and Permits. U.S. Environmental Protection Agency, Washington, DC
Hanmer, R.W. Novembers, 1984. "Guidance to POTWs for Enforcement of Categorical Standards." Office
of Water Enforcement and Permits. U.S. Environmental Protection Agency, Washington, DC
Molloy, J.B. (No date.) "'Deficiency Notice' Implementation to Improve Quality Assurance in NPDES
Permittee Self-Monitoring Activities." Office of Water Enforcement and Permits. U.S. Environmental
Protection Agency, Washington, DC
"Responsibilities and Conduct for EPA Employees." Federal Register. Vol. 38, No. 73.
U.S. Environmental Protection Agency, 1979. NPDES Compliance Sampling Inspection Manual (MCD-51).
Washington, DC
U.S. Environmental Protection Agency. October 1979. Interim MPDES Compliance Biomonitoring Inspection
Manual (MCD-62). Washington, D'C
U.S. Environmental Protection Agency. January 1981. NPDES Compliance Evaluation Inspection Manual.
(MCD-75). Washington, DC
U.S. Environmental Protection Agency. September 1981. NPDES Compliance Flow Measurement Manual
(MCD-77) Washington, DC
U.S. Environmental Protection Agency. December 5, 1979. Performance Audit Inspection Policy and
Guidance. Washington, DC
U.S. Environmental Protection Agency. October 1983. Guidance Manual for POTW Pretreatment Program
Development. Washington, DC
U.S. Environmental Protection Agency. October 1983. Procedures Manual for Reviewing a POTW
Pretreatment Program Submission. Washington, DC
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U.S. Environmental Protection Agency. January 1985. Pretreatment Implementation Review Task Force
(PIRT) Final Report. Washington, DC
U.S. Environmental Protection Agency. September 1985. Guidance Manual for Implementing Total Toxic
Organics CFTO) Pretreatment Standards. Washington, DC
U.S. Environmental Protection Agency. September 1985. Guidance Manual for the Use of Production-Based
Pretreatment Standards and the Combined Wastestream Formula. Washington, DC
U.S. Environmental Protection Agency. September 1985. RCRA Information on Hazardous Wastes for
Publicly Owned Treatment Works. Washington, DC
U.S. Environmental Protection Agency. July 1986. Pretreatment Compliance Inspection and Audit Manual for
Approval Authorities. Washington, DC
U.S. Environmental Protection Agency. July 1986. Pretreatment Compliance Monitoring and Enforcement
Guidance Manual. Washington, DC
U.S. Environmental Protection Agency. September 1986. PRELIM: The EPA Computer Program/Model for
Development of Local Limits. User's Guide. Version 3.0. Computer diskette for use on an
IBM-compatible microcomputer also available. Washington, DC
U.S. Environmental Protection Agency. September 1987. Guidance Manual for Preventing Interference at
POTWs. Washington, DC
U.S. Environmental Protection Agency. November 1987. Guidance Manual on the Development and
Implementation of Local Discharge Limitations Under the Pretreatment Program. Washington, DC
U.S. Environmental Protection Agency. January 1988. NPDES Compliance Inspection Manual.
Washington, DC
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APPENDIX C
REVIEW QUESTIONS AND ANSWERS ON
THE OVERVIEW OF THE NPDES
COMPLIANCE INSPECTION PROGRAM
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1.
2.
3.
4.
5.
REVIEW QUESTIONS
List the nine types of NPDES compliance inspections presented in this module.
A Pretreatment Compliance Inspection (PCI) includes all the aspects of a Compliance Evaluation
Inspection (CEI). (Circle correct answer.) True or False.
Which of the following is not an objective of the Compliance Sampling Inspection (CSI)?
a. To verify compliance with permit effluent limits
b. To evaluate the permittee's laboratory techniques
c. To verify that parameters specified in the permit are consistent with the facility's wastewater
characteristics
d. To gather information that may support enforcement actions.
Information from a permitted facility that has been classified as confidential may be withheld from an
EPA or State NPDES inspector. (Circle correct answer.) True or False.
The term "LC^" in conjunction with biomonitoring of a permittee's effluent refers to the concentration
of a pollutant or toxicant that causes 50 percent of the test organisms to die within a given period of
time. (Circle correct answer.) True or False.
6. Which of the following is not a component of a Compliance Evaluation Inspection (CEI)?
a. Facility site review
b. Compliance schedule review
c. Biomonitoring procedures review
d. Records and reports review.
A Pretreatment Compliance Inspection (PCI) is designed to focus primarily on an evaluation of the
POTW's compliance monitoring of industrial users and enforcement of pretreatment program
requirements. (Circle correct answer.) True or False.
A Deficiency Notice may be issued to a permittee in response to deficiencies identified during a
Performance Audit Inspection only. (Circle correct answer.) True or False.
A Compliance Sampling Inspection (CSI) is (more/less) resource-intensive than a Compliance Evaluation
Inspection (CEI)? (Circle correct answer.)
It is the NPDES inspector's obligation during a Performance Audit Inspection (PAI) to be knowledgeable
about common permittee self-monitoring deficiencies. (Circle correct answer.) True or False.
It is permissible for the NPDES inspector, after completing an inspection of a facility, to discuss both
the findings of the inspection and all violations identified with representatives of the permittee. (Circle
correct answer.) True or False.
7.
8.
9.
10.
11.
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12. A Pretreatment Compliance Inspection is designed to be a (sampling/nonsampling) type of NPDES
inspection? (Circle correct answer.)
13. Which of the following is/are objectives of the records and reports review conducted as part of the
Compliance Evaluation Inspection? (Circle correct answer.)
a. To identify trends in a permittee's effluent quality
b. To review the quality assurance of a permittee's self-monitoring program
c. To document compliance/noncompliance with permit limitations and requirements
d. All of the above.
14. A NPDES inspector need not be concerned with the manner in which a permittee disposes of sludges
produced during the treatment of wastewaters, but should only verify the compliance status of the
facility's effluent with permit discharge limitations, (Circle correct answer.) True or False.
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6.
ANSWERS TO REVIEW QUESTIONS
List the nine types of NPDES compliance inspections presented in this module and underline the six
inspections that were discussed in detail.
Answer: (1) Reconnaissance Inspection (RI)
(2) Compliance Evaluation Inspection (CEI)
(3) Compliance Sampling Inspection (CSI)
(4) Toxic Sampling Inspection (XSI)
(5) Performance Audit Inspection (PAI)
(6) Compliance Biomonitoring Inspection (CBI)
(7) Pretreatment Compliance Inspection (PCI)
(8) Diagnostic Inspection (DI)
(9) Legal Support Inspection (LSI)
True or False. A Pretreatment Compliance Inspection (PCI) includes all the aspects of a Compliance
Evaluation Inspection (CEI).
Answer: False
Which of the following is not an objective of the Compliance Sampling Inspection (CSI)?
a. To verify compliance with permit effluent limits
b. To evaluate the permittee's laboratory techniques
c. To verify that parameters specified in the permit are consistent with the facility's wastewater
characteristics
d. To gather information that may support enforcement actions.
Answer: b. (This is an objective of the Performance Audit Inspection)
True or False. Information from a permitted facility that has been classified as confidential may be
withheld from an EPA or State NPDES inspector.
Answer: False
True or False. The term "LC^" in conjunction with biomonitoring of a permittee's effluent refers to the
concentration of a pollutant or toxicant that causes 50 percent of the test organisms to die within a given
period of time.
Answer: True
Which of the following is not a component of a Compliance Evaluation Inspection (CEI)?
a. Facility site review
b. Compliance schedule review
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c. Biomonitoring procedures review
d. Records and reports review.
Answer: c. Biomonitoring procedures review
7. True or False. A Pretreatment Compliance Inspection (PCI) is designed to focus on primarily an
evaluation of the POTW's compliance monitoring of industrial users and enforcement of pretreatment
program requirements.
Answer: True
8. True or False. A Deficiency Notice may be issued to a permittee in response to deficiencies identified
during a Performance Audit Inspection only.
Answer: False
9. A Compliance Sampling Inspection (CSI) is (more/less) resource intensive than a Compliance Evaluation
Inspection (CEI?)
Answer: More because a CSI includes all aspects of a- CEI in addition to sampling of a permittee's
effluent.
10. True or False. It is the NPDES inspector's obligation during a Performance Audit Inspection (PAI) to
be knowledgeable about common permittee self-monitoring deficiencies.
Answer: True
11. True or False. It is permissible for the NPDES inspector, after completing an inspection of a facility, to
discuss both the findings of the inspection and all violations identified with representatives of the
permittee.
Answer: False
12. A Pretreatment Compliance Inspection is designed to be a (sampling/nonsampling) type of NPDES
inspection.
Answer: Nonsampling
13. Which of the following is/are objectives of the records and reports review conducted as part of the
Compliance Evaluation Inspection? >
a. To identify trends in a permittee's effluent quality
b. To document the quality assurance of a permittee's self-monitoring program
c. To document compliance/noncompliance with permit limitations and requirements
d. All of the above
Answer: d. All of the above
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14. True or False. A NPDES inspector need not be concerned about the manner in which a permittee
disposes of sludges produced during the treatment of wastewaters, but should only verify the compliance
status of the facility's effluent with permit discharge limitations.
Answer: False
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NPDES Compliance Monitoring Inspector Training: OVERVIEW
APPENDIX D
SECTION 308
OF THE CLEAN WATER ACT
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experts, and Federal departments and agencies.
(b) (1) The Administrator shall, within one hundred
and eighty days after thtdate of enactment of this title
and from time to time thereafter, publish proposed
regulations establishing pretreatment standards for in-
troduction of pollutants, into treatment works (as de-
fined in section 212 of this Act) which are publicly
owned for those pollutants which are determined not to
be susceptible to treatment by such treatment works or
which would interfere with the operation of such treat-
ment works. Not later than ninety days after such pub-
lication, and after opportunity for public hearing, the
Administrator shall promulgate such pretreatment stan-
dards. Pretreatment standards under this subsection
shall specify a time for compliance not to exceed three
years from the date of promulgation and shall be estab-
lished to prevent the discharge of any pollutant through
treatment works (as defined in section 212 of this Act)
which are publicly owned, which pollutant interferes
with, passes through, or otherwise is incompatible with
such works. If. in the case of any toxic pollutant under
subsection (a) of this section introduced by a source into
a publicly owned treatment works, the treatment by
such works removes all or any part of such toxic pol-
lutant and the discharge from such works does not vio-
late that effluent limitation or standard which would be
applicable to such toxic pollutant if it were discharged
by such source other than through a publicly owned
treatment works, and does not prevent sludge use or dis-
posal by such works in accordance with section 405 of
this Act, then the pretreatment requirements for the
sources actually discharging such toxic pollutant into
such publicly owned treatment works may be revised by
the owner or operator of such works to reflect the re-
moval of such toxic pollutant by such works."
(2) The Administrator shall, from time to time, as
control technology, processes, operating methods, or
other alternative change, revise such standards follow-
ing the procedure established by this subsection for
promulgation of such standards.
(3) When proposing or promulgating any pretreat-
ment standard under this section, the Administrator
shall designate the category or categories of sources to
which such standard shall apply.
(4) Nothing in this subsection shall affect any pre-
treatment requirement established by any State or local
law not in conflict with any pretreatment standard
established under this subsection.
(c) In order to insure that any source introducing pol-
lutants into a publicly owned treatment works, which
source would be a new source subject to section 306 if it
were to discharge pollutants, will not cause a violation
of the effluent limitations established for any such treat-
ment works, the Administrator shall promulgate pre-
treatment standards for the category of such sources
simultaneously with the promulgation of standards of
performance under section 306 for the equivalent cate-
gory of new sources. Such pretreatment standards shall
prevent the discharge of any pollutant into such treat-
ment works, \vhich pollutant may interfere with, pass
through, or otherwise be incompatible with such works.
(d) After the effective date of any effluent standard
or prohibition or pretreatment standard promulgated
under this section, it shall be unlawful for any owner or
operator of any source to operate any source in viola-
tion of any such effluent standard or prohiDition or pre-
treatment standard.
(e) Compliance Date Extension for Innovative Pre-
treatment Systems. In the case of any existing facility
that proposes to comply with the pretreatment standards
of subsection (b) of this section by applying an innova-
tive system that meets the requirements of section
301(k) of this Act, the owner or operator of the publicly
owned treatment works receiving the treated effluent
from such facility may extend the date for compliance
with the applicable pretreatment standard established
under this section for a period not to exceed 2 years
(1) if the Administrator determines that the innova-
tive system has the potential for industrywide applica-
tion, and
(2) if the Administrator (or the State in consultation
with the Administrator, in any case in which the State
has a pretreatment program approved by the Adminis-
trator)
(A) determines that the proposed extension will not
cause the publicly owned treatment works to be in
violation of its permit under section 402 or of section 405
or to contribute to such a violation, and
(B concurs with the proposed extension.
[307(e) added by PL 100-4]
[Editor's note: Section 309(b) of PL 100-4 provides:
"(b) Increase in EPA Employees. The Administra-
tor shall take such actions as may be necessary to
increase the number of employees of the Environmental
Protection Agency in order to effectively implement
pretreatment requirements under section 307 of the
Federal Water Pollution Control Act."]
INSPECTIONS. MONITORING AND ENTRY
Sec. 308. (a) \\ '-.enever required to carry out the ob-
jective of this Act. including but not limited to (1) de-
veloping or assisting in the development of any effluent
limitation, or other limitation, prohibition, or effluent
standard, pretreatment standard, or standard of per-
formance under this Act; (2) determining whether any
person is in violation of any such effluent limitation, or
other limitation, prohibition or effluent standard, pre-
treatment standard, or standard of performance; (3)
any requirement established under this section: or (4)
carrying out sections 305, 311, 402, 404 (relating ro
State permit programs), 405, and 504 of this Act
REPRINTED BY PERMISSION FROM ENVIRONMENT REPORTER,
PUBLISHED BY THE BUREAU OF NATIONAL AFFAIRS, INC.,
WASHINGTON, D.C. 20037
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[Sec. 308(a)(4) amended by PL 100-4]
(A) the Administrator shall require the owner or
operator of any point source to (i) establish and main-
tain :>uch records, (ii) make such reports, (iii) install,
use, and maintain such. monitoring equipment or
methods (including where appropriate, biological moni-
toring methods), (iv) sample such effluents (in accor-
dance with such methods, at such locations, at such
intervals, and in such manner as the Administrator shall
prescribe), and (v) provide such other information as he
may reasonably require; and
(B) the Administrator or his authorized representa-
tive (including an authorized contractor acting as a
representative of the Administrator), upon presentation
of his credentials
(i) shall have a right of entry to. upon, or through
any premises in which an effluent source is located or in
which any records required to be maintained under
clause (A) of this subsection are located, and
(u) may at reasonable times have access to and copy
any records, inspect any monitoring equipment or
method required under clause (A), and sample any ef-
fluents which the owner or operator of such source is re-
quired to sample under such clause.
[Sec. 308(a)(B) amended by PL 100-4]
(b) Any records, reports, or information obtained
under this section (I) shall, in the case of effluent data,
be related to any applicable effluent limitations, toxic,
pretreatment, or new source performance standards,
and (2) shall be available to the public, except that upon
a showing satisfactory to the Administrator by any per-
son that records, reports, or information, or particular
part thereof (other than effluent data), to which the Ad-
ministrator has access under this section, if made public
would divulge methods or processes entitled to protec-
tion as trade secrets of such person, the Administrator
shall consider such record, report, or information, or
particular portion thereof confidential in accordance
with the purposes of section 1905 of title 18 of the
United States Code. Any authorized representative of
the Administrator (including an authorized contractor
acting as a representative of the Administrator) who
knowingly or willfully publishes, divulges, discloses, or
makes known in any manner or to any extent not
authorized by law any information which is required to
be considered confidential under this subsection shall be
fined not more than SI,000 or imprisoned not more than
I year, or both. Nothing in this subsection shall prohibit
the Administrator or an authorized representative of the
Administrator (including any authorized contractor act*
ing as a representative of the Administrator) from dis-
closing records, reports, or information to other officers,
employees, or authorized representatives of the United
States concerned with carrying out this Act or when
relevant in any proceeding under this Act.
[308(b) amended by PL 100-4]
(c) Each State may develop and submit to the Ad-
ministrator procedures under State law for inspection,
monitoring, and entry with respect to point sources lo-
cated in such State. If the Administrator finds that the
procedures and the law of any State relating to inspec-
tion, monitoring, and entry are applicable to at least the
same extent as those required by this section, such State
is authorized to apply and enforce its procedures for in-
spection, monitoring, and entry with respect to point
sources located in such State (except with respect to
point sources owned or operated by the United States).
(d) Access by Congress. Notwithstanding "any
limitation contained in this section or any other provision
of law, all information reported to or otherwise obtained
by the Administrator (or any representative of the Ad-
ministrator) under this Act shall be made available,
upon written request of any duly authorized committee
of Congress, to such committee. !
[308(d) added by PL 100-4] \
FEDERAL ENFORCEMENT
[Editor's note: See also Section 318 of PL 100-4, pub-
lished at the end of this Act, for applicability of this
Section to the Unconsolidated Quarternary Aquifer,
Rockaway River Basin, New Jersey.]
Sec. 309. (a) (1) Whenever, on the basis of any in-
formation available to him, the Administrator finds
that any person is in violation of any condition or
limitation which implements section 301, 302, 306, 307,
308, 318, or 405 of this Act in a permit issued by a State
under an approved permit program under section 402 or
404 of this Act. he shall proceed under his authority in
paragraph (3) of this subsection or he shall notify the
person in alleged violation and such State of such find-
ing. If beyond the thirtieth day after the Administra-
tor's notification the State has not commenced ap-
propriate enforcement action, the Administrator shall
issue an order requiring such person to comply with
such condition or limitation or shall bring a civil action
in accordance with subsection (b) of this section.
(2) Whenever, on the the basis of information avail-
able to him, the Administrator finds that violations of
permit conditions or limitations as set forth in; para-
graph (1) of this subsection are so widespread that such
violations appear to result from a failure of the State to
enforce such permit conditions or limitations effec-
tively, he shall so notify the State. If the Administrator
finds such failure extends beyond the thirtieth day after
such notice, he shall give public notice of such finding.
During the period beginning with such public notice and
ending when such State satisfies the Administrator that
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APPENDIX E
CRITERIA FOR NEUTRAL SELECTION OF
NPDES COMPLIANCE INSPECTION CANDIDATES
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CRITERIA FOR NEUTRAL SELECTION OF
NPDES COMPLIANCE INSPECTION CANDIDATES
A. BACKGROUND
In response to the Supreme Court decision in Marshall v. Barlow's Inc.. 436 U.S. 307 (1978), the
Agency developed neutral inspection criteria to be used when targeting compliance inspections. The purpose of
using the neutral inspection plan is to eliminate any bias in choosing candidates for compliance inspections.
Under the NPDES program [authorized by Section 402(a)(l) of the Clean Water Act], over 65,000
permits have been issued for the discharge of pollutants. Of these issued permits, about 7,500 have been
classified by EPA or States with NPDES authority as major permittees. The designation of a permittee as
"major" is based on a number of factors including quantity and potential environmental impact of the
wastewater source (e.g., toxicity). EPA's program to monitor compliance with terms and conditions of issued
NPDES permits is primarily designed to ensure the compliance of these major permittees.
Compliance inspections performed under the NPDES program can be divided into two general categories:
(1) those inspections based on administrative factors; and (2) those inspections based on specific evidence of an
existing violation (e.g., civil probable cause). Inspections based on the second category are not neutral since
they are based on prior knowledge of apparent or probable permit violations. Factors which constitute specific
evidence consist of: (1) violations reported on recent DMRs; (2) citizen complaints; (3) response to emergency
situations, such as threats to public health or safety; (4) follow-up to previous inspections which indicated
violations; and (5) specific enforcement case support. The Agency has developed the neutral inspection plan
described in the remainder of this appendix to schedule inspections based strictly on administrative factors.
B. UNIVERSE OF NPDES INSPECTION CANDIDATES
The EPA and State personnel as well as authorized contractors have, upon the presentation of credentials,
the authority to enter and inspect all NPDES permitted facilities at any reasonable time, regardless of other
factors such as "major" or "minor" designations. Because of limited resources, not all minor facilities are
usually targeted for inspections each year. Consequently, the frequency with which compliance inspections are
performed is based on:
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Discharger's environmental significance
Available resources
Types and mix of inspection being employed
Climatic and geographic influences on inspection logistics
Other factors influencing compliance monitoring such as the ability to follow-up on inspection
findings.
C. BASIC SELECTION CRITERIA
When targeting permittees for neutral compliance inspections, the time that has passed since the last
inspection and the geographical grouping of the permittees are the only factors which may be considered.
Other information, such as data from DMRs which indicate apparent violations, would not be used since this
would constitute probable cause under the civil standard. However, the existence of such data would not
preclude the facility from being considered for a neutral inspection if this neutral plan is followed during the
selection process. The only permittees who would not be considered when targeting neutral compliance
inspections are permittees who are in current litigation with EPA. (State litigation would not preclude an EPA
inspection.)
D. NEUTRAL COMPLIANCE INSPECTIONS
To target inspections based on a neutral inspection plan, permitting authorities must first determine the
length of time that has passed since the last EPA or State inspection. This can be done easily using the
capabilities of the Permit Compliance System (PCS). A PCS report can be generated which will print out each
permittee in order by the date of the last inspection. Figure 1 contains a sample list which PCS can generate.
A separate report can be generated for each State in the Region. In some cases, it may be appropriate to use
subdivisions (e.g., county) of a State. The permittees which are highest on the list (greatest time since last
inspection) will have the highest priority for neutral inspections.
In order to minimize use of limited resources, inspection targeting should be based on both the priority
list and geographical grouping. For example, any permittee on the list may be targeted for an inspection if it is
in close physical proximity to a facility which is very high on the list. PCS can give the names and most
recent inspection dates for all permittees which are in the same county as a permittee selected for an inspection.
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The priority list will identify only those facilities which are possible targets for compliance inspections
during the current fiscal year. The exact timing of these inspections during the fiscal year will be at the
discretion of the permitting authority, based on logistics and specific needs. This list of permittees targeted for
inspections may be amended at any time during the fiscal year. Similarly, before the start of a new fiscal year,
the permitting authority should reassess all penaittees regardless of whether all previously targeted inspections
have been completed for the current fiscal year.
E. INSTRUCTIONS FOR TARGETING INSPECTIONS BASED ON THE POINT
ASSESSMENT SYSTEM
To use the neutral inspection plan, permitting authorities will first determine the percentage of inspection
resources that will be devoted to neutral administrative inspections. This will depend, to a large extent, on the
ongoing enforcement case load and the percentage of major permittees which have probable violations of
effluent limitations and compliance schedules. For example, the following resources may be allocated for
neutral inspection activities:
25 percent of Compliance Sampling Inspection resources
25 percent of Performance Audit Inspection resources
25 percent of Compliance Evaluation Inspection resources.
The remaining 25 percent of inspection resources would be reserved for inspections based on probable
cause and specific enforcement case support.
The Region should next determine the approximate number of neutral inspections that can be completed
using the resources allocated for each inspection type (CSI, CEI, and PAI). This number will be flexible
depending on the type and/or the number of outfalls and size of the permitted facility.
Each State will start with the permittees highest on the list and proceed down the priority list until about
one-third of the neutral inspection resources for that jurisdiction have been allocated. For example, if the
allocated inspection resources for neutral inspections are enough for 30 inspections, approximately the first 10
permittees on the priority list would be targeted. The permitting authorities should then use the remaining 20
inspections for permittees which are grouped with the already targeted candidates based on common
geographical and/or special technical considerations. For example, once a sampling inspection is scheduled for
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a facility with a high point rating, several more sampling inspections, CEIs, or PAIs may be scheduled in the
same geographical area. This will allow all of these facilities to be inspected on one inspection trip. Of
course, permitting authorities are free to target inspections to single facilities particularly when the facility is in
close proximity to regional or field offices.
A specific percentage of inspection resources are set aside each fiscal year for enforcement case support
activities and emergency response. By the last quarter of the fiscal year, permitting authorities should know to
what extent these set-aside resources will be available for routine inspections. To the extent that these
resources become available, they should be utilized to inspect the remaining permittees on the priority list.
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FIGURE 1. SAMPLE PCS INSPECTION REPORT
The figure below is similar to a printout from the PCS. It lists major NPDES facilities in the imaginary
State of ZX in order of the date of the last inspection. Permittees with no date listed for inspections have not
had an inspection which was noted in PCS. These permittees will have the highest priority for neutral
inspections.
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B/834-03-2.83-01/APPENDIX.WPF
NPDES Compliance Monitoring Inspector Training: OVERVIEW
APPENDIX F
LIST OF FIELD SAMPLING AND PERSONAL
SAFETY EQUIPMENT
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C/834-03-283-01/LIST.F
NPDES Compliance Monitoring Inspector Training: OVERVIEW
LIST OF FIELD SAMPLING EQUIPMENT
Field Equipment
Tools
Multi-tooled jack knife (Swiss Army type)
Electrical and duct tape
Tape measure
Hand-held range finder and level
Camera/film
- Flashlight
Screwdriver
- Adjustable Wrench and vise grips
Electrical Pliers
Plastic Bucket
Nylon Cord
Samplers
- Tubing
Sample bottles
- Batteries
Desiccant
Flow Measurement Devices
Meters
pH buffer
- Chart paper
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C/834-03-283-01/LIST.F
NPDES Compliance Monitoring Inspector Training: OVERVIEW
Sample Containers
Coolers/Ice
Preservatives
Transportation Materials
Bubblepack material
Filament tape
- Shipping labels
- Chain-of-custody forms
- Water Resistent Marker/Pen
Analysis request forms
Protective Clothing
- Hard hat
Safety shoes
- Gloves
- Coveralls
- Reflective safety vest
- Safety glasses/goggles
- Rain wear
Safety Equipment
- First-aid kit
Safety harness and retrieval system
Ventilation equipment
- Meters (oxygen content, explosivity, and toxic gas)
- Respirator
- Self-contained breathing apparatus (if appropriate)
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B/834-03-283-01/APPENDIX.WPF
NPDES Compliance Monitoring Inspector Training: OVERVIEW
APPENDIX G
NPDES COMPLIANCE INSPECTION
REPORT FORM (EPA FORM 3560-3)
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B/834-03-283-01/APPENDIX.O
NPDES Compliance Monitoring Inspector Training: OVERVIEW
4^^ V V^ M^ WoWninQCOO, D. C. 2O48O
OtrA NPDES Compliance Inspection Report
Section A: National Data System Coding
Transaction Code NPD
it 1 44 4111 1
1 1 III
Reserved Facility Evaluation Rating
«U_LJ" *U
ES yr/mp/day Inspection Type Inspe
II 11 d M 1 1 II 17 idj i Phone Nots)
Title
Ptxine No. Contacted
Section C: Areee Eveluatad During ma«>eotk»
Satisfactory. M » Marginal. U * Unsatisfactory, N * Not Evaluated)
Flow Measurement Pretraatment
Laboratory Compliance Schedule*
Effluent/Receiving Waters Self-Monitoring Program
Operation* & Maintenance
Sludge Disposal
Other
Section O: S<^m»rf
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B/834-03-283-01/APPENDIX.G
NPDES Compliance Monitoring Inspector Training: OVERVIEW
INSTRUCTIONS
Section A: National Data System Coding (i.e., PCS)
Column 1: Transaction Code: Use N, C. or D for New, Change, or Delete. All inspections will be new
unless there is an error in the data entered.
Columns 3-11: NPDES Permit No. Enter the facility's NPDES permit number. (Use the Remarks
columns to record the State permit number, if necessary.)
Columns 12-17: Inspection Date. Insert the date entry was made into the facility. Use the
year/month/day format (e.g., 82/06/30 = June 30,1982).
Column 18: Inspection Type. Use one of the codes listed below to describe the type of inspection:
A Performance Audit E Corps of Engrs Inspection S Compliance Sampling
Q Biomonitoring L Enforcement Case Support X Toxic Sampling
C Compliance Evaluation P Pretreatment
D Diagnostic R Reconnaissance Inspection
Column 19: Inspector Coda. Use one of the codes listed below to describe the lead agency in the
inspection.
C Contractor or Other Inspectors (Specify in N NEIC Inspectors
Remarks columns) R EPA Regional Inspector
E Corps of Engineers S State Inspector
J Joint EPA/State InspectorsEPA lead TJoint State/EPA InspectorsState lead
Column 20: Facility Type. Use one of the codes below to describe the facility.
1 Municipal. Publicly Owned Treatment Works (POTWs) with 1972 Standard Industrial Code
(SIC) 4952.
2 Industrial. Other than municipal, agricultural, and Federal facilities.
3 _ Agricultural. Facilities classified with 1972 SIC 0111 to 0971.
4 _ Federal. Facilities identified as Federal by the EPA Regional Office.
Columns 21 -66: Remarks. These columns are reserved for remarks at the discretion of the Region.
Column 70: Facility Evaluation Rating. Use information gathered during the inspection (regardless
of inspection type)to evaluate the quality of the facility self-monitoring program. Grade the program
using a scale of 1 to 5 with a score of 5 being used for very reliable self-monitoring programs, 3 being
satisfactory, and 1 being used for very unreliable programs.
Column 71: Biomonitoring Information. Enter D for static testing. Enter F for flow through testing.
Enter N for no biomonitoring.
Column 72: Quality Assurance Data Inspection. Enter Q if the inspection was conducted as
followup on quality assurance sample results. Enter N otherwise.
Columns 73-80: These columns are reserved for regionally defined information.
Section B: Facility Data
This section is self-explanatory.
Section C: Areas Evaluated During Inspection
Indicate findings (S, M, U, or N) in the appropriate box. Use Section D and additional sheets as
necessary. Support the findings, as necessary, in a brief narrative report. Use the headings given on
the report form (e.g.. Permit, Records/Reports) when discussing the areas evaluated during the
inspection. The heading marked "Other" may include activities such as SPCC, BMP's, and multime-
dia concerns.
Section D: Summary of Findings/Comments
Briefly summarize the inspection findings. This summary should abstract the pertinent inspection
findings, not replace the narrative report. Reference a list of attachments, such as completed
checklists taken from the NPDES Compliance Inspection Manuals and pretreatment guidance
documents, including effluent data when sampling has been done. Use extra sheets as necessary.
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B /834-03-283-01/APPENDIX. WPF
NPDES Compliance Monitoring Inspector Training: OVERVIEW
APPENDIX H
DEFICIENCY NOTICE GUIDANCE AND FORM
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NPDES Compliance Monitoring Inspector Training: OVERVIEW
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON. O.C. 20460
MEMORANDUM
OFFICE OF ENFORCEMENT
SUBJECT: "Deficiency Notice" Implementation to Improve Quality
Assurance in NPDES Permittee Self-Monitoring Activities
FROM: Director, Enforcement Division .(EN-338)
TO: Enforcement Division Directors, Regions I - X
Surveillance and Analysis Division
Directors, Regions I - X
Director, National Enforcement Investigations Center,
Denver
The Enforcement Divisions and the Surveillance and Analysis
Divisions in several Regions have developed a form, called a
Deficiency Notice, which their inspectors issue at the end of
compliance inspections. This Deficiency Notice alerts NPDES
permittees to problems in their routine self-monitoring activi-
ties. On June 11, 1979, the Office of Water Enforcement proposed
that all the Regional offices adopt this form along with the
Guidance for its use, and asked for your comments on this pro-
posal. The Deficiency Notice and Guidance, which are attached,
reflect your comments.
We have ordered the Deficiency Notice Forms, which will be
printed on no-carbon-required paper and will be color coded in
pads to correlate w.ith the NPDES Compliance Inspection Form
(EPA 3560-3). You may reproduce the attached form for use until
you receive these forms.
The Deficiency Notice was designed so that State NPDES
programs might easily use it. However, EPA cannot now sanction
its use by the States since the Office of Management and Budget
(OMB) has not authorized the form for non-Federal use. We will
attempt to get OMB approval.
Since the Deficiency Notice provides a swift and simple
mechanism for responding to deficiencies in self-monitoring data,
I believe that its use will substantially improve the performance
of wastewater treatment facilities without creating additional
resource burdens or enforcement problems. If you have any
questions about the Deficiency Notice or its use, please do not
hesitate to call Gary Polvi of my staff at 755-0994.
J. Brian Molloy
Attachments
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B/834-03-283-01/APPENDIX.H
NPDES Compliance Monitoring Inspector Training: OVERVIEW
DEFICIENCY NOTICE GUIDANCE
Purpose.
The purpose for using the Deficiency Notice is to provide a
swift and simple method for improving the quality of data from
NPDES self-monitoring activities. Since an inspector may issue a
Deficiency Notice during any NPDES compliance inspection to alert .
the permittee to either existing or potential problems in self-
monitoring, its receipt prompts the permittee to quickly take
corrective action, as close as possible to the time the inspector
perceives the problem.
Scope
The Deficiency Notice is a too), for use in conjunction with
any type of EPA NPDES compliance inspection (i.e., compliance
evaluation, sampling, performance audit, biomonitoring, etc.),
during which the inspector identifies problems with self-monitoring
that warrant response.
The Deficiency Notice and Guidance were designed so that State
NPDES compliance monitoring programs could also easily use them.
(Note the use of the term "regulatory authority" throughout this
guidance.) However, EPA cannot yet sanction the States' use of ;
this form because the Office of Management and Budget (OMB) has not
yet approved the form for non-Federal use.
Use of the Deficiency Notice does not apply to a wide range
of possible permit violations. It is to be used by the inspector
to alert permittees to deficiencies in their self-monitoring
activities only. The enforcement office of the regulatory author-
ity (i.e., the EPA Regional Enforcement Division or its State
counterpart), not the i-nspector, will continue to handle violations
relative to compliance schedules or effluent limitations.
Form Description
The Deficiency Notice (see attachment) is one page long
and is for use in conjunction with the standard EPA-Compliance
Inspection Form (EPA 3560-3/ September, 1977). The reverse
side of the Notice contains general instructions to inspectors
for completing the form. The regulatory authority using the
form may add other specific instructions that do not conflict
with this guidance.
The form has four sections: (1) basic facility data, (2) de-
ficiencies, (3) comments, and (4) inspector identification. These
sections contain individual spaces where the inspector during an
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B/&34-03-O.S3-01/APPENDIX.H
NPDES Compliance Monitoring Inspector Training: OVERVIEW
-2-
inspection can log deficiencies in the following self-monitoring
activities: (1) monitoring location, (2) flow measurement,
(3) sample collection/holding time, (4) sample preservation,
(5) test procedures, (6) record keeping, (7) other self-monitoring
deficiencies "(i.e. sampling frequency, instrument calibration,
etc.)- Since thje existing Compliance Inspection Form (which
inspectors now complete) includes questions and answers relating
to the above seven activities, inspectors should not need much
additional time to complete this Deficiency Notice.
Administrative Procedures
With few exceptions (see March 7, 1977 SMS Guide), the han-
dling and tracking of Deficiency Notices will follow the normal EPA
Enforcement Management System (EMS) procedures. Inspectors can
issue the Deficiency Notice to a permittee immediately following a
compliance inspection if they discover any permit deficiencies
which the Notice includes. Under unusual circumstances inspectors
may delay issuing a Deficiency Notice until after conferring with
other officials of the regulatory authority.
EMS requires the offices responsible for inspections and for
NPDES enforcement to jointly establish a policy delineating the
procedure for the permittee to appropriately respond to the
Deficiency Notice. In the EPA Regions, the Directors of the
Enforcement Division and the Surveillance and Analysis (S&A)
Division will develop this policy. If the offices agree to allow
the permittee to submit a separate written response rather than to
include the response as part of a regular Discharge Monitoring
Report (DMR) submission, they will require the inspector to record
the necessary mailing instructions and deadline for response under
the additional comment section of the Deficiency Notice. The
inspector indicates-the appropriate method for the permittee's
response in the "requested action" section of the Deficiency
Notice. Due to the nature of most self-monitoring problems it is
reasonable for the re'gulatory authority to ask that the permittee
submit a written description of any corrective actions within 15
work days after receiving the Notice. Where the permittee is asked
to respond as part of a regular DMR submission, a similar reporting
time allowance should be allotted. In either response option, the
inspector should always indicate in the Deficiency Notice the
requested date for permittee response.
Having the permittee document Deficiency Notice corrective
actions as part of a regular DMR submission establishes account-
ability for the compliance inspection in the official NPDES permit
compliance file even before a compliance review is undertaken.
This is a resource efficient method of documenting the minimum
benefit from performing inspections.
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NPDES Compliance Monitoring Inspector Training: OVERVIEW
3
The issuance of a Deficiency Notice is not a formal enforce-
ment action. It is not intended and must not be construed as an
administrative o.r legal order to the permittee. Therefore, the
action by the permittee to respond is voluntary, but incentive for
such response comes from the positive consideration it may have on
further formal enforcement follow-up of the inspection.
When the regulatory authority receives the permittee's
response to the Deficiency Notice, they will review the inspection
data"and the permittee's response according to EMS procedures. If
during routine reviews of inspection data, the authorities note
deficiencies in self-monitoring data and note that the inspector
did not issue a Deficiency Notice, they may issue one at any time.
The responsibility for all enforcement activity shall always
remain in the enforcement/compliance review office of the regula-
tory authority. After agreement between the Directors of the
Regional Enforcement Division and the S&A Divison, these offices
should incorporate details for insuring which office retains which
responsibility into the Regional EMS. Whether or not a Deficiency
Notice has been issued, the enforcement office of the regulatory
authority can take administrative or legal action at any time.
Also, a Deficiency Notice may not be appropriate in those cases
where additional enforcement action is expected or litigation
against the permittee is already underway.
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B/834-03-283-01/APPENDIX.H
NPDES Compliance Monitoring Inspector Training: OVERVIEW
DEFICIENCY NOTICE
NATIONAL POLLUTANT DISCHARGE
ELIMINATION SYSTEM (NPDBS)
fRawd instruction* on back at /«( parr bulon eompltlint)
PERMITTEE (ftelHlr) NAME AND ADORES*
Additional treu of deficiency may be brought to your attention following a complete review of
formation on file with the REGULATORY AUTHORITY administering your NPDES PERMIT.
MMM PCftMT HO.
ficiencies noted below were found.
the Inspection Report and other in-
MONITORING LOCATION »)
SAMPLE COLLECTION/HOLDING TIME fDeeeria*)
SAMPLE PRESERVATION (Dficrtbf)
TEST PROCEDURES. SECTION 304 CFR 1 M (Dtfcrt**)
RECORD KEEPINO (Dftcttb*)
OTHER SELP-MONITORINC DEFICIENCIES (Dftcrib*)
ADDITIONAL COMMENTS
REQUECTEO ACTION Your attention to ih« correction or lh« d«flc»ncirr (DMR) or 12) mbmltnd a airteud by On Inspector. Qun-
IORITY to which your DMRi are lubmitted and which adminia-
REGULATORY AUTHORITY/ADORCSS DATE
EPA fom.3a.XM
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